We interview compliance headhunter Nick Litwinek in the first of a series designed to help compliance, risk, and legal practitioners to find, secure, and manage high-quality compliance talent across regulated industries.
EU MiFID II Org Reg Art 30
An operational function is critical or important where a defect or failure in its performance would materially impair a firm's ability to remain compliant with its regulatory obligations, its financial performance or the continuity of its investment services and activities.
Overview
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Observations on selected questions raised in the consultation, from the suitability and functioning of existing MiCA requirements to areas of crypto that fall outside of MiCA.
To what extent do the business activities of prediction market platforms fall within the scope of financial services regulation in European jurisdictions?
Key points and practical implications in the areas of governance, testing, outsourcing, and pre-trade controls.
We consider industry pushback and sovereignty concerns with Tom Callaby, CMS; and Miroslav Đurić, Taylor Wessing.
Commodity derivatives were a particular focus in a wide-ranging exchange.
FCA highlights issues in MiFID reporting requirements and advises firms to update and improve their processes.
Compliance professionals wrestled with current challenges at the latest Global Relay Hedge Funds event in London.