After on-site inspections at issuers’ premises revealed at times serious shortcomings in compliance organisation, the Austrian Financial Market Authority FMA has published a “Circular on compliance rules pursuant to the Börsegesetz (BörseG; Stock Exchange Act) and the Emittenten-Compliance-Verordnung 2007 (CDI 2007; Compliance Decree for Issuers)”. This Circular explains, from a practical perspective, how [...]
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Posted on February 15th, 2012
Publisher: FMA (Austrian Financial Market Authority) Topics: compliance, financial regulation, stock exchanges Posted on January 5th, 2012
In accordance with Article 16(2) of the ESMA Regulation1, this paper sets out for consultation draft ESMA guidelines on certain aspects of the Markets in Financial Instruments Directive (MiFID)2 compliance function requirements. The financial crisis has highlighted the need for more clarification about the role of compliance, especially in view of the [...] Posted on January 5th, 2012
Publisher: FSA (Financial Services Authority) Topics: compliance, financial regulation, financial supervision, securities The Guidance on management information, the appropriateness of systems and controls, and the role of the signatory of the annual confirmation of compliance constitutes guidance according to Regulation 42 of the RCB legislation and therefore requires consultation. The purpose of this paper is to set out FSA’s minimum expectations in relation to these [...] Posted on January 3rd, 2012
This paper sets out for public consultation and consideration the Government of Canada’s (“the Government”) proposals to strengthen Canada’s anti-money laundering (AML) and anti-terrorist financing (ATF) legislative framework, which is administered through the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA). Its key objectives include: reviewing Canada’s AML/ATF legislative framework in preparation [...] Posted on November 15th, 2011
The Swiss Financial Market Supervisory Authority FINMA has investigated the way in which banks have dealt with “politically exposed persons” (PEPs). FINMA has audited the approach adopted by 20 Swiss banks when dealing with PEPs. This was prompted by the imposition of three freezing orders by the Federal Council in spring 2011 [...] 17 pages
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