Corruzione

Più recente

1 a 10 di 139
  • Certification Regime Accesso limitato

    Webinar

    Inviato: 12 July 2019

    Download the slides and watch our recent webinar on demand. The fourth call in our SMCR implementation series focuses on certification regime - how to allocate the client dealing function, managers of certified people, material risk takers and algorithmic traders.

  • MAS clarifies regulatory expectations on IAC Guidelines

    Articolo

    Inviato: 01 July 2019

    In our previous bulletin, we analysed the implications of Monetary Authority of Singapore’s (MAS) proposal to expand the scope of the Guidelines on Individual Accountability and Conduct (Guidelines) (CP2). In this sequel bulletin, we recapitulate some of the key points from MAS’ feedback to the first consultation issued recently on 06 June 2019, and chart the timeline and course ahead.

  • Difficult issues for smaller asset managers Accesso limitato

    Webinar

    Inviato: 28 June 2019

    Download the slides and watch our recent webinar on demand. The third of seven calls in our SMCR implementation series focuses on difficult issues for smaller asset managers, including interpretation and application of the partnership rules, core firm proportionality for smaller asset managers, and issues for our US asset manager population.

  • SMCR implementation: The Final Countdown, are you ready? Accesso limitato

    Webinar

    Inviato: 17 June 2019

    This series of practical webinars is designed to help you find solutions to some of the most commonly asked questions regarding SMCR implementation.

  • MAS proposes increased scope for Individual Accountability and Conduct Guidelines

    Articolo

    Inviato: 10 June 2019

    On 06 June 2019, the Monetary Authority of Singapore released a consultation paper expanding the scope of the Guidelines on Individual Accountability and Conduct for Financial Institutions. This article recapitulates the key outcomes set out in the IAC Guidelines, and summarises how the proposed extension of the IAC Guidelines’ scope will affect the newly-included entities, such as fund management companies, trustees and payment services licensees.

  • FCA releases three more SMCR Consultation Papers

    Articolo

    Inviato: 13 December 2017

    Following its consultations on the extension of the Senior Managers and Certification Regime (SMCR) to insurers and solo regulated firms in November, the Financial Conduct Authority (FCA) has published three more consultation papers on the transitioning to the SMCR and the duty of responsibility on 13 December 2017.

  • Extension of SMCR: Duty of responsibility in practice Accesso limitato

    Webinar

    Inviato: 13 December 2017

    Watch our recent webinar on demand. Gain a practical overview of the duty of responsibility under SMCR, including by reference to existing guidance from the FCA as well as guidance on the senior managers Conduct Rules.

  • Extension of SMCR: Preparing for Conduct Rules Accesso limitato

    Webinar

    Inviato: 06 December 2017

    View this webinar on demand and download the slides now. We take a look at SMCR Conduct Rules and what firms should do now in preparation for these.

  • Extension of SMCR: Identifying Certification staff and related challenges Accesso limitato

    Webinar

    Inviato: 29 November 2017

    View our recent SMCR webinar and download the slides now. This session covered the categories of staff which fall within the ambit of the certification regime under the draft rules, identifying some of the obvious and less obvious categories including your CF30 customer facing function and their managers. It also discusses the steps firms should take now to prepare for certification and who should be involved in that process (including relevant comments for insurers).

1 a 10 di 139