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Compliance function guidelines
EU Commission publishes draft revised Directive
Proposed Directive could have significant implications for EU financial institutions and those transacting with them
Handbook changes published by FSA
Proposed changes to COLL clarifying money market fund definitions
Areas under consideration include High Frequency Trading and transaction reporting
FSA Drafting error
Regulation of OTC derivatives
Rights issue disclosure requirements being narrowed slightly
BaFin impose ban
No more shorting in Greece
CESR has requested a 'Call for Evidence' to assess European equity markets
Two-thirds of hedge funds could exist within UCITS wrapper
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...
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