Search
Searching Content indexed under Compliance by Rosali Pretorius ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
Best Execution: Complying With MiFID 2
MiFID 2 will bring significant changes to the way in which firms conduct their trading business and the policies and procedures they have in place for informing clients and evidencing compliance.
UK
24 Mar 2016
2
Regulatory Developments - June 17, 2015
The FCA and the PRA have published further material in relation to the implementation of the new provisions relating to individual accountability in banking, including the Senior Managers regime, the certification regime, and the conduct rules.
UK
17 Jun 2015
3
Outsourcing For Asset Managers
It is increasingly difficult for firms easily to check which of the myriad rules on outsourcing in financial services apply to them.
UK
18 Feb 2015
4
Crowded House
Post-financial crisis, many small businesses, unable to get bank financing in the wake of the tightening of bank capital rules, turned to crowdfunding.
UK
16 Feb 2015
Links to Result pages
 
1