Regulatory Compliance Journal
Protection of Whistleblowers : What is the EU framework?
On March 12 2019, the European Parliament and European Union Member States made a provisional agreement on how to protect whistleblowers. This new agreement guarantees a higher level of protection for whistleblowers than the level given in the original proposal of 23 April 2018. This agreement...
- 9 min read
The Banking Industry & Regulatory Compliance Requirements
Compliance risk is one of the biggest concerns of the banking industry. Failing to comply can have an impact on the reputation of the brand and create a decrease in its customer population. Lack of due diligence in transactions and clients monitoring can drag the bank to costly and time-consumi...
- 6 min read
Apply a Top-down approach for Regulatory Compliance Ops
A top-down approach highlights the behaviour of regulatory changes in the financial institution and helps the Compliance Officer to build a strong Governance. This principle is also known as “tone at the top” in ethical and responsible business behaviour. From the highest management level t...
- 3 min read
Regulatory Compliance for Insurance and Reinsurance Firms
Insurance/reinsurance companies play an important role for the European economy. Many European countries, among them Belgium, are listed in the top 20 OECD countries with the highest gross insurance premiums, with Belgian premiums reaching around 30 billion US dollars in 2017.The Belgian gover...
- 8 min read
Inside RegTech - Regulatory Compliance Technology
🎬 Introduction to RegTech and Regulatory ComplianceThe worldwide economic repercussions of the 2008 financial crisis led regulators to strengthen their regulations and controls against the financial market operators. Today, financial institutions are facing a challenging regulatory landscape...
- 7 min read
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Look up company VAT number in Europe
VAT, TVA, VIES, Anti Money Laundering, AML, Europe, BTW, KYC, Know your Customer,How to find the VAT number of a counterparty or customer ?How can you, as a company or obliged entity, search for the VAT number of a counterparty or customer? Whether you are a company that has to check whether your counterparty is subject to VAT...
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 to book a good consultant for your projects?
Governance, Compliance, Procurement, Know your Customer, Financial Institutions, Compliance expert, FinTech, Audit Findings, Consultant, AML, Financial firms,From an extra pair of hands to the person that advises on strategical decisions and the future of your company, consultants have become an important and integral part of companies and financial institutions all over world. The consultancy industry h...