Financial Transaction Tax Proposed Directive could have significant implications for EU financial institutions and those transacting with them
Prompt Response FSA impose large penalty on firm for inadequate arrangements to protect client assets
FSA Action on Unregulated Collective Investment Schemes Compliance officer fined following penalty on firm
CSSF — Mandatory Notification for UK firms in the context of Brexit The Luxembourg financial regulator, the CSSF, published a press release on 15 July 2019 informing UK firms that...
Complyport & Fieldfisher’s SM&CR Webinar recording In our continual effort to help assist financial services firms with their on-going regulatory requirements, Complyport recently hosted...
