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Searching Content indexed under Compliance by Dillon Eustace ordered by Published Date Descending.
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1
ESMA Consults On Compliance Function Requirements
On 15 July 2019, the European Securities and Markets Association issued a consultation paper and draft revised guidelines on certain aspects of the compliance function requirements under MiFID II.
European Union
25 Jul 2019
3
Cayman Islands Monetary Authority Notice – Excluded Persons AML/CFT Obligations And Requirements For AML Audit
On January 25th, 2019, the Cayman Islands Monetary Authority ("CIMA") published a Notice1 reminding entities which are registered with CIMA ...
Cayman Islands
12 Feb 2019
4
Investment Firms Quarterly Legal And Regulatory Update - October 2018 To December 2018
On 29 October 2018, the Markets in Financial Instruments Act 2018 (the "2018 Act") was enacted.
Ireland
17 Jan 2019
5
Funds Quarterly Legal And Regulatory Update 1 October 2018 – 31 December 2018
On 8 October 2018, the Central Bank published revised guidance (the "Guidance") on the use of financial indices by UCITS.
Ireland
15 Jan 2019
6
Publication Of Corporate Governance Requirements For Investment Firms And Market Operators 2018
On 5 November 2018, the Central Bank of Ireland (the "Central Bank") published its Corporate Governance Requirements for Investment Firms and Market Operators 2018 (the "CG Requirements").
Ireland
23 Nov 2018
7
Investment Firms Quarterly Legal & Regulatory Update Q3 July - September 2018
The MiFID Reporting Requirements set out a non-exhaustive list of the regulatory reports that MiFID firms are required to submit to the Central Bank on a periodic basis
Ireland
16 Oct 2018
8
The Securitisation Regulation: Implications For UCITS Management Companies And AIFM
With just over three months to go before the Securitisation Regulation (the "Regulation") takes effect, in the below briefing we consider the actions ...
European Union
28 Sep 2018
9
New Central Bank Investment Firms Regulations
The Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Investment Firms) Regulations 2017 were signed by the Central Bank Deputy Governor on February 28, 2017...
Ireland
24 Mar 2017
10
C.I.M.A. Supervisory Issues And Information Circular-Third Edition
The Cayman Islands Monetary Authority ("CIMA") has issued the third edition of its Supervisory Issues and Information Circular (the "Circular").
Ireland
15 Mar 2017
11
Funds Quarterly Legislative Update 1 October - 31 December 2016
On 13 October 2016, Commission Delegated Regulation (EU) 2016/438 regarding the obligations of UCITS funds, their relevant management companies and their depositaries...
Ireland
13 Jan 2017
12
Fitness And Probity - Ongoing Obligations
The Central Bank's Fitness and Probity Regime applies to regulated financial service providers which include banks, insurance companies, retail intermediaries, investment funds, MiFID investment firms and fund service providers.
Ireland
20 Oct 2016
13
Central Bank Publishes Letter Relating To The Reporting Requirements Of EMIR
Under Regulation (EU) No. 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories ("EMIR")...
Ireland
17 Oct 2016
14
Market Abuse A New Regime For Investment Funds
Following on from our earlier publication in relation to the new Market Abuse Regime, the Market Abuse Regulation (EU 596/2014 - 'MAR') and the Market Abuse Directive on criminal sanctions...
Ireland
13 Jul 2016
15
Directors' Compliance Statement Under The Companies Act 2014 – Impact On Insurance/Reinsurance Undertakings For Years Ending On/After 31 May 2016
The concept of a directors' compliance statement first appeared in section 45 of the Companies (Auditing and Accounting) Act 2003...
Ireland
1 Jul 2016
16
Directors' Compliance Statement Under The Companies Act 2014 - Impact On A UCITS Plc And Fund Service Providers
The concept of a directors' compliance statement first appeared in section 45 of the Companies (Auditing and Accounting) Act 2003...
Ireland
31 May 2016
17
Central Bank Publishes Report On Anti-Money Laundering/Countering The Financing Of Terrorism And Financial Sanctions Compliance In The Life Insurance Sector
On 8 March 2016, the Central Bank of Ireland (the "Central Bank") published a report on Anti-Money Laundering/Countering the Financing of Terrorism ("AML/CTF") and Financial Sanctions Compliance...
Ireland
6 Apr 2016
18
Central Bank Of Ireland Supervisory Review Of Solvency II Firms
The Central Bank of Ireland published its programme of themed inspections on 3 February 2016, indicating its supervisory priorities for 2016 which reflect the full implementation of the Solvency II regime.
Ireland
14 Mar 2016
19
Market Abuse Directive II - Changes In The Market Abuse Regime - Investment Funds And Debt Issuers
Regulation 596/2014 on market abuse ("MAR"), and Directive 2014/57/EU on criminal sanctions for market abuse ("CS MAD") were published in the Official Journal of the EU on 12 June 2014...
Ireland
8 Mar 2016
20
Central Bank's Programme Of Themed Inspections For 2016
On 3 February 2016, the Insurance Supervision Directorate of the Central Bank of Ireland (the "Central Bank") published its programme of themed inspections (the "Programme")...
Ireland
16 Feb 2016
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