Regulatory Compliance Journal
The KYC Guide for Russian Professional Counterparties
How to conduct KYC on Russian Counterparties ?Doing business with Russian entities in non-sanctioned sectors of the economy requires some specific attention points regarding client due diligence (the risk exposure assessment process of clients to money laundering and terrorist financing). Russ...
- 6 min read
AML - KYC : Impacts of the 4th AML Directive (AMLD4)
What will be the impacts of implementation of the Fourth AML EU Directive (2015/849) ?Since 1991, the European Union has regularly implemented new anti-money laundering directives. On the 20th of May 2015, the European Parliament and the Council issued the Fourth AML Directive (2015/849) on the...
- 2 min read
MiFID: Time for information transparency
MiFID (Markets in Financial Instruments Directive) was put into force in November 2007 and was created with the objective of harmonising Europe's financial landscape. This Directive changed how the financial markets worked and especially how they were ruled. MiFID, time for information t...
- 3 min read
How to implement efficient corporate governance standards ?
Corporate governance standards are a framework within which operational and behavioural standards for the board, the executive management and the wider staff are set. Hierarchy in harmony. It comes largely with an accountability movement, better management and better control, and is based essen...
- 2 min read
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RBA - Risk Based Approach: strengths and weaknesses
RBA, Risk Based Approach, Risk, Financial firms, AML, Conduct Risk, Risk Management, GAFI, Financial Institutions, Due Diligence, EWRA, Anti Money Laundering, Compliance, Terrorism Financing,In today’s financial challenging environment, institutions are exposed to numerous economic abuses making it necessary to activate preventive measures to decrease the risks. Among these, money laundering (ML), terrorist financing (TF), corruption, ...
EU proposals: cross-border distribution of investment funds
UCITS, AIFs, Capital Markets Union, ESMA, European Commission, EU, MIFID, Investment Funds, MiFID2,A Proposal for a Directive which will amend, the Directive 2009/65/EC (UCITS IV Directive) and the Directive 2011/61/EU (AIFMD), was adopted on 12 March 2018 by the European Commission. The aim of the new Directive will be to facilitate the cross-bo...
How is BMR changing the landscape of benchmarks?
Compliance, European Commission, Europe, BMR, Benchmark Regulation, Euribor, , Eonia,The recent creation of Benchmark Regulation has been the catalyst for a major transition from the old regime of benchmarks towards new and alternative reference rates set to transform the world of finance. In the past years, a global benchmark refor...