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Searching Content indexed under Compliance by Harvey Knight ordered by Published Date Descending.
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Comunicazione Banca d'Italia 25 Marzo 2015 In Materia Di Adempimenti Per Le SGR
Alleghiamo la comunicazione emanata da Banca d'Italia in data 25 marzo 2015 in materia di adempimenti per le SGR conseguenti alle disposizione attuative della Direttiva AIFM.
Italy
2 Apr 2015
2
Obligations For Approved Persons Donít Stop At The Office Door
The FCA banned Jonathan Burrows, a former Managing Director at Blackrock Asset Management Investor Services Limited, from working in the financial services industry.
UK
18 Dec 2014
3
US Regulation - SEC Sanctions Foreign Bank For Failure To Register
The US Securities and Exchange Commission (SEC) has issued a cease and desist order and has imposed remedial sanctions upon a foreign bank which failed to register as a broker-dealer or as an investment adviser.
United States
9 Dec 2014
4
Are You Ready For 1 July 2011 (And Beyond)?
The FSA's revised Remuneration Code came into force on 1 January 2011. Firms have to comply with its provisions as soon as possible and in any event by no later than 1 July 2011.
UK
5 Jul 2011
5
The bank of England takes it all | The abolition of the FSA
With much fanfare, George Osborne announced the abolition of the Financial Services Authority ("FSA") in his maiden Mansion House speech as on 16 June 2010.
UK
7 Jul 2010
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