Home »
Posts taggedRegulatory (Page 179)
bit.ly/3tfaii5 0
Continue reading
April 13, 2021 webmaster
Canada, Litigation, Regulatory
www.riskscreen.com/kyc360/news/u-k-formation-agents-facing-crackdown-over-organised-crime-links/www.cityam.com/top-official-warns-of-disturbing-amount-of-russian-money-laundering-in-uk/ 0
Continue reading
April 13, 2021 webmaster
Money Laundring, Regulatory, UK
bit.ly/2PRNQgR 0
Continue reading
April 13, 2021 webmaster
Banking, Myanmar, Regulatory
www.findknowdo.com/news/02/10/2021/sec-acting-chair-delegates-issuance-formal-order-investigation-senior-officials?utm 0
Continue reading
April 12, 2021 webmaster
Banking, Regulatory, US
bit.ly/3uAFKaVSee also:www.findknowdo.com/news/07/01/2021/fincen-updates-jurisdictions-fatf-aml/cft/cpf-deficiencies-list?utm 0
Continue reading
April 8, 2021 webmaster
Cyber Security, Regulatory, US
bit.ly/3moTHWGwww.matheson.com/insights/detail/updates-relating-to-the-investment-firms-directive-and-investment-firm-regulationwww.arthurcox.com/knowledge/investment-firms-update-new-prudential-regime-applies-to-mifid-investment-firms-across-the-eu/www.dilloneustace.com/legal-updates/new-prudential-framework-for-investment-firms-given-further-effect Update:insights.arthurcox.com/post/102h9sg/cbi-notice-on-ifd-ifr-implementationwww.williamfry.com/docs/default-source/briefings/investment-firms_-central-bank-notice-on-competent-authority-discretions-in-the-ifd_ifr.pdf?sfvrsn=7ef4e65f_0www.mhc.ie/latest/insights/central-bank-of-ireland-reminder-on-requirements-for-mifid-firmswww.matheson.com/insights/detail/client-asset-rules-finalisedwww.matheson.com/insights/detail/addendum-to-the-draft-guidance-note-on-the-central-bank-of-ireland's-client-asset-requirementswww.dilloneustace.com/legal-updates/mifid-authorisation-guidance-issued-by-cbi 0
Continue reading
April 7, 2021 webmaster
Banking, Ireland, Regulatory
www.mme.ch/en/magazine/magazine-detail/url_magazine/asset_manager_vs_investment_advisor_analysis_in_a_nutshell/pestalozzilaw.com/en/news/legal-insights/duty-register-client-advisers-foreign-financial-service-providers-be-or-not-be/ See also:The Duty to Register for Client Advisors of Foreign Financial Service Providers | Pestalozzi Attorneys at Law (pestalozzilaw.com) 0
Continue reading
April 6, 2021 webmaster
Banking, Regulatory, Switzerland
www.findknowdo.com/news/02/03/2021/executives-settle-sec-charges-accounting-violations?utm 0
Continue reading
April 6, 2021 webmaster
Regulatory, US
www.macfarlanes.com/what-we-think/in-depth/2020/faqs-the-investment-firms-regulation-and-directive/dwfgroup.com/en/news-and-insights/insights/2021/8/uk-investment-firm-prudential-regimewww.sidley.com/en/insights/newsupdates/2021/08/uk-investment-firm-prudential-regime-10step-plan-for-investment-managersUpdate:financialregulation.linklaters.com/post/102hgzf/new-notification-requirements-for-fca-regulated-investment-firms-in-groups 0
Continue reading
April 5, 2021 webmaster
Banking, Regulatory, UK
www.findknowdo.com/news/02/02/2021/finra-identifies-2021-risk-monitoring-and-examination-priorities?utmUpdate:www.findknowdo.com/news/02/10/2022/finras-2022-report-exam-and-risk-monitoring-program-adds-five-topic-areas?utm 0
Continue reading
April 5, 2021 webmaster
Banking, Regulatory, US