Insights

News, Articles & Publications

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NatWest: A Case of Ignoring the Obvious

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Asset management strategy – MFSA’s most recent discussion paper

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Revised implementing procedures published by FIAU

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Lex Mundi report: Global foreign investment restrictions guide

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Anti-Money Laundering / Know Your Client Procedures – Are these Privileged Documents?

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Have you forgotten your KIDs? – Where are we on PRIIPs Key Information Documents for UCITS and Alternative Funds?

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Regulatory: Governance, Risk and Compliance and the three lines of defence model

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Presta Nome Mandate

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Regulatory: Investment Firms Directive – major considerations for investment firms

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Fighting financial crime through sanctions screening

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But, do you ‘really’ know your customer?

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A marriage between compliance and culture: building on solid foundations

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ESMA risk assessment update in light of COVID-19

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ESMA public statement on the publication of best execution reports

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MFSA circular on customer protection and complaints handling processes

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The recording of telephone conversations under MiFID II: Clarification by ESMA

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ESMA Public Statement: Postponement of the reporting obligations under the Securities Financing Transactions Regulation (“SFTR”)

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COVID-19: MFSA Circular on Contingency Planning for Licence Holders

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