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


JULY iCAS Newsletter Issue 24/2018
The European Banking Authority ("EBA") issued a recommendation addressed to the Maltese Financial Intelligence Analysis Unit ("FIAU") after establishing it had...
16 July 2018
JULY iCAS Newsletter Issue 23/2018
Cyprus Securities and Exchange Commission ("CySEC") wishes to inform the Regulated Entities about the requested information by CySEC. 
10 July 2018
JUNE iCAS Newsletter Issue 22/2018
ESMA has published an opinion which sets out how central counterparties (CCPs) in the EU should consider in their internal...
02 July 2018
JUNE iCAS Newsletter Issue 21/2018
The European Securities and Market Authority ("ESMA") confirmed that the temporary period allowing for a smooth introduction of the use...
26 June 2018
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