558 results for Compliance

with the SEC. US regulation however provides for a principle of substituted compliance, based on a decision

of substituted compliance by such entities, on July 23, 2021 United States 7.23.21-substituted-compliance-mou

of the DASP’s corporate officers; compliance by the DASP with regulations on the prevention of money laundering

Obtain the Investment Services Compliance Officer (RCSI) professional licence

of the issue.   The AMF verifies the regulatory compliance of the disclosure documents prepared by listed

When you change your Compliance and Internal Control Officer, you must apply for the professional

governance and compliance. She also works on securities litigation cases. She has been appointed Executive

reporting of information on the following elements: cases of non-compliance with the investment rules