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Searching Content indexed under Insurance Laws and Products by Nikki Lovejoy ordered by Published Date Descending.
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MIFID II Changes For CASS | Understanding The Impact And Preparing For Change
Will the impact of changes to the CASS rules be small for every firm? With so much else to consider as part of MiFID II implementation, investment firms could be forgiven for overlooking proposed changes...
UK
1 Nov 2016
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UK Regulators Refine The Scope Of The Senior Managers Regime And Clarify How The ‘Presumption Of Responsibility’ Will Be Applied
The regulators have confirmed that under the revised approach, only the following NEDs in relevant authorised banks, building societies and insurers will be subject to pre-approval and inclusion in the SMR...
UK
27 Feb 2015
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