Investment services & funds insights Publications September 16, 2020 Risk Assessments: Tailor-made not ready-made The third article within this series relates delves into the risk assessments which organisations are to implement from a... Publications September 2, 2020 A marriage between compliance and culture: building on solid foundations 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 Publications May 8, 2020 ESMA issues public statement on the risks for retail Investors during the COVID-19 crisis The European Securities and Markets Authority (“ESMA”) just published a statement given the increase in trading activity involving retail clients... Events April 27, 2020 Ganado Advocates’ webinar on AML: Learning from the past; safeguarding the future Publications April 16, 2020 COVID-19 and the dividends dilemma As the COVID-19 virus continues to dominate our lives, we are coming across more and more headlines like these:... Publications April 15, 2020 Updated: Interim measures for the processing of physical documentation Publications April 15, 2020 COVID-19: ESMA issues a public statement on the deadlines for the publication of periodic reports by fund managers The European Securities and Markets Authority (ESMA) has published a public statement to promote coordinated action among national competent authorities (NCAs)... Publications April 3, 2020 ESMA risk assessment update in light of COVID-19 Publications April 3, 2020 ESMA public statement on the publication of best execution reports On 31 March 2020, the European Securities and Markets Authority (“ESMA”) issued a public statement clarifying issues regarding the... Publications March 26, 2020 MFSA circular on customer protection and complaints handling processes 1 2 3 … 10
Publications September 16, 2020 Risk Assessments: Tailor-made not ready-made The third article within this series relates delves into the risk assessments which organisations are to implement from a...
Publications September 2, 2020 A marriage between compliance and culture: building on solid foundations
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
Publications May 8, 2020 ESMA issues public statement on the risks for retail Investors during the COVID-19 crisis The European Securities and Markets Authority (“ESMA”) just published a statement given the increase in trading activity involving retail clients...
Events April 27, 2020 Ganado Advocates’ webinar on AML: Learning from the past; safeguarding the future
Publications April 16, 2020 COVID-19 and the dividends dilemma As the COVID-19 virus continues to dominate our lives, we are coming across more and more headlines like these:...
Publications April 15, 2020 COVID-19: ESMA issues a public statement on the deadlines for the publication of periodic reports by fund managers The European Securities and Markets Authority (ESMA) has published a public statement to promote coordinated action among national competent authorities (NCAs)...
Publications April 3, 2020 ESMA public statement on the publication of best execution reports On 31 March 2020, the European Securities and Markets Authority (“ESMA”) issued a public statement clarifying issues regarding the...