Tag: compliance
Showing 12 out of 37 results
28 November 2023
FCA publishes anti-greenwashing rule (and other measures)
05 October 2023
Attention all auditors, again – HKMA and AFRC enter into new Memorandum of Understanding to strengthen collaboration
05 May 2021
FCA speech on compliance, culture and evolving regulatory expectations
15 December 2020
SFC releases FAQs simplifying compliance with electronic data storage requirements – But is it really as simple as it looks?
14 September 2020
Industry codes: the regulatory and litigation risks and how to mitigate them in practice
01 September 2020
ESMA writes a letter to the European Commission regarding the reform of the AIFMD
22 June 2020
MiFID II: ESMA guidance on compliance function requirements
18 June 2020
IOSCO proposes updated Outsourcing Principles as Covid-19 drives operational resilience to the top of the agenda
09 March 2020
FCA highlights its areas of concern in financial services markets in Sector Views 2020
30 January 2020
SFO Internal Guidance on Evaluating a Compliance Programme
24 January 2020
FCA publishes Dear CEO letters to asset managers and alternative investment firms
30 October 2019
The month ahead in financial services regulatory developments…
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