Dear CEO: Suitability Findings of FSA review highlight weaknesses among firms in assessing suitability, including inadequate client classification
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...
