NOVEMBER iCAS Newsletter Issue 46/2017


The Guidelines cover national competent authorities ("NCAs") supervision of investment firms' compliance functions, particularly how those functions carry out risk assessments, monitor compliance obligations, report to senior management and fulfil their advisory role. 

04 December 2017

Publications


DECEMBER iCAS Newsletter Issue 45/2018
The European Securities Markets and Authority is launching the process to renew the Consultative Working Group ("CWG") of the Financial...
10 December 2018
NOVEMBER iCAS Newsletter Issue 44/2018
The Financial Conduct Authority ("FCA") publishes its EU Withdrawal Impact Assessment. 
03 December 2018
NOVEMBER iCAS Newsletter Issue 43/2018
The European Securities and Markets Authority ("ESMA") is publishing this Public Statement to address the risks of a no-deal Brexit...
27 November 2018
NOVEMBER iCAS Newsletter Issue 42/2018
The European Securities and Markets Authority ("ESMA") has published its first annual report.
19 November 2018
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