- Posts in January, 2019
This edition includes - FCA Update on Brexit Preparation, The Securitisation Regulations 2018, Regulation on Cross-Border Distribution of Investment Funds – ECON Adopts Legislation, Amendments in Market Abuse (EU Exit) Regulations 2018, FCA Fines and Bans NED, FCA Decision to Fine CEO of Bank for Ineffective AML Systems
This edition includes - DFSA Releases Consultation Papers, No.121, No. 122 and 124, ADGM Concludes 1st Industry E-KYC Utility Project with UAE Financial Institutions, CCL Curates Panel at the Central Bank of the UAE’s Strategy Retreat, CMCs to be Regulated by the FCA, Former NED Banned and Fined by FCA.
This edition includes - Cyber Security & Cyber Resilience Framework for Stock Broker/Depository Participants, Review of Offer for Sale (OFS) of Shares Through Stock Exchange Mechanism, SEBI (Prohibition of Fraudulent and Unfair Trade Practices Relating to Securities Market) (FUTP) Regulation, Transfer of Securities Only in Demat Form-Deadline Extended till 1st April 2019, RBI Approves Amalgamation of SBM Bank (Mauritius) Limited, India with SBM (India) Limited.