1078 results for compliance

… of these products, as well as insurers' and distributors' compliance with their professional obligations. This … identified good practices, but also instances of non-compliance, particularly in relation to the definition of … of these products, as well as insurers' and distributors' compliance with their professional obligations. This …

… management advice activities’ and remained subject to compliance with the organisation and conduct of business … crypto-asset services. Consequently, providing it requires compliance with the new requirements under MiCA. Finally, … crypto-assets is now subject to specific authorisation and compliance with the rules laid down at European level. In its …

… a detailed explanation of the steps planned to achieve compliance. 2. Implementing the “comply or explain" principle … recommendation on multiple directorships or explaining non-compliance. 1.7 Restrictions on the powers of the chief … officers holding multiple directorships or explaining non-compliance. 1.1.11 Restrictions on the powers of the chief …

… the Joint Unit has identified instances of non-compliance. The authorities therefore wish to draw … received from the manufacturer. All instances of non-compliance identified are subject to bilateral supervisory … the Joint Unit has identified instances of non-compliance. The authorities therefore wish to draw …

… Obtain the Investment Services Compliance Officer (RCSI) professional licence … If you change the person responsible for compliance and internal control in your company, you must … amf-france.org Are you changing your Investment Services Compliance Officer (RCSI)? Would you like to enrol an …

… In any event, the FIA must be able to demonstrate compliance with the requirements of Article L. 541-6 of the …

… management company of several breaches relating to non-compliance with its authorisation application, to its … management company of several breaches relating to non-compliance with its authorisation application, to its … management company of several breaches relating to non-compliance with its authorisation application, to its …

… management of multiple changes Annex X - Prime broker compliance letter template Annex XI - Notification form: … 1 Files an authorisation application for an AIF 2 Checks compliance of the application Acknowledges receipt of the … applicant May reject the application in the event of non-compliance with the fast-track authorisation process for a …

… money market AIF Report on compensation and cases of non-compliance with investment restrictions (in Frenh only) Book … money market AIF Report on compensation and cases of non-compliance with investment restrictions (in Frenh only) Book … money market AIF Report on compensation and cases of non-compliance with investment restrictions (in Frenh only) Book …

… the concepts used and any due diligence carried out. - Compliance with any codes of ethics and/or professional … the concepts used and any due diligence carried out. - Compliance with any codes of ethics and/or professional …