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Thursday, June 20, 2013
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MiFID Investment Firms

Materials relevant to Investment Firms. 

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CEBS Survey best practice after Jerome Kerviel CEBS Survey best practice after Jerome Kerviel

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Date added: 09/19/2011
Date modified: 09/25/2011
Filesize: 99.87 kB
Downloads: 198

Results of a survey by CEBS inquiring into governance best practice after rogue trader losses suffered by SocGen. Published July 2008.

CRD2 & CRD3 Implementation Guide CRD2 & CRD3 Implementation Guide

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Date added: 09/25/2011
Date modified: 09/25/2011
Filesize: 647.81 kB
Downloads: 287

Central Bank Implementation Guide to Second & Third Capital Requirements Directive. Published December 2010.

CEBS Guidelines on CRD3 implementation CEBS Guidelines on CRD3 implementation

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Date added: 09/25/2011
Date modified: 09/25/2011
Filesize: 593 kB
Downloads: 212

CEBS Guidelines on the implementation of Third Capital Requirements Directive.

MiFID Compliance Manual Template MiFID Compliance Manual Template

Date added: 05/10/2013
Date modified: 05/10/2013
Filesize: 180.75 kB
Downloads: 62

MiFID Procedures Manual Template MiFID Procedures Manual Template

Date added: 05/10/2013
Date modified: 05/10/2013
Filesize: 152.67 kB
Downloads: 51

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    Compliance Ireland specialises in regulatory affairs, primarily for the financial services sector. We help firms obtain authorisations and assist them… Read More

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    We help firms obtain the authorisation they need from the Central Bank of Ireland. We start by sitting down with… Read More

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    Financial Crime & MLRO Services Compliance Ireland is a leading expert in Financial Crime issues. Financial Crime broadly means anti-money… Read More

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    Our Expert Witness and Litigation Support services predominantly cover: professional negligence financial services regulatory compliance relating to banks, asset managers,… Read More

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    Once your firm has been authorised, we help keep you authorised. We provide a variety of services to regulated firms ranging… Read More

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    Sooner or later you are going to come into close contact with the Central Bank or another regulator. It probably… Read More
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