Investment services & funds insights Events March 25, 2021 Regulatory: Investment Firms Directive – major considerations for investment firms Regulatory: Investment Firms Directive – major considerations for investment firms 07 April 2021 at 1600 hrs The Investment Firm... Publications September 30, 2020 Fighting financial crime through sanctions screening Publications September 23, 2020 But, do you ‘really’ know your customer? In this fourth article in this series, we will be looking at the principles behind a customer risk assessment... Publications September 16, 2020 Risk Assessments: Tailor-made not ready-made Publications September 2, 2020 A marriage between compliance and culture: building on solid foundations In seeking to create greater awareness on financial crime related obligations, Ganado Advocates is launching “The Financial Crime Series”.... Events September 1, 2020 Compliance challenges in the investment services & funds industry Practice news August 18, 2020 Consultation to revise EBA’s and ESMA’s guidelines on suitability assessments for members of the management body and key function holders The European Banking Authority (EBA) and European Securities and Markets Authority (ESMA) have launched a consultation to review their... Publications May 8, 2020 ESMA issues public statement on the risks for retail Investors during the COVID-19 crisis Events April 27, 2020 Ganado Advocates’ webinar on AML: Learning from the past; safeguarding the future Recent years have been characterised by a series of money laundering scandals. Such scandals do not only expose institutions... Publications April 16, 2020 COVID-19 and the dividends dilemma Publications April 15, 2020 Updated: Interim measures for the processing of physical documentation The Malta Financial Services Authority (“the Authority”) has issued a circular stating that documentation to be submitted to the MFSA... Publications April 15, 2020 COVID-19: ESMA issues a public statement on the deadlines for the publication of periodic reports by fund managers 1 2 3 … 11
Events March 25, 2021 Regulatory: Investment Firms Directive – major considerations for investment firms Regulatory: Investment Firms Directive – major considerations for investment firms 07 April 2021 at 1600 hrs The Investment Firm...
Publications September 23, 2020 But, do you ‘really’ know your customer? In this fourth article in this series, we will be looking at the principles behind a customer risk assessment...
Publications September 2, 2020 A marriage between compliance and culture: building on solid foundations In seeking to create greater awareness on financial crime related obligations, Ganado Advocates is launching “The Financial Crime Series”....
Practice news August 18, 2020 Consultation to revise EBA’s and ESMA’s guidelines on suitability assessments for members of the management body and key function holders The European Banking Authority (EBA) and European Securities and Markets Authority (ESMA) have launched a consultation to review their...
Publications May 8, 2020 ESMA issues public statement on the risks for retail Investors during the COVID-19 crisis
Events April 27, 2020 Ganado Advocates’ webinar on AML: Learning from the past; safeguarding the future Recent years have been characterised by a series of money laundering scandals. Such scandals do not only expose institutions...
Publications April 15, 2020 Updated: Interim measures for the processing of physical documentation The Malta Financial Services Authority (“the Authority”) has issued a circular stating that documentation to be submitted to the MFSA...
Publications April 15, 2020 COVID-19: ESMA issues a public statement on the deadlines for the publication of periodic reports by fund managers