The regulatory issues involving the financial services
Arbitrage opportunities involving the internet, and regulatory policy issues
... IP based end-user services, and PSTN is not be based on the underlying costs and QoS - there will be regulatory arbitrage. u Are either the EU or US thinking about[r] ...
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Financial Services Regulatory Practice
... Several factors contribute to the SEC’s interest in liquid alts. First, assets under management in liquid alts have surged in recent years, approaching $200 billion as of year-end 2013. Second, liquid alts are a ...
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Taxation of the financial sector: Regulatory and justification issues
... zone jurisdiction. Then, the fi rst party may be obliged to register for FTT purposes in the affected FTT-zone country, although he or she is not resident in that country. 17 With BLT, it is problematic for the purposes ...
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Financial Services Group. Regulatory handbook
... the regulatory agenda from policy-making to implementation, financial institutions must continue to drive change as the pace of regulatory reform remains ...
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Financial Services Group. Regulatory handbook
... In a nutshell: In July 2012, the European Commission held a consultation on potential areas of reform of the UCITS regime. It is a comprehensive review of the operational function of UCITS funds and is therefore very ...
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REGULATORY COMPLIANCE SERVICES for Financial Institutions
... the financial institution’s adherence with applicable consumer protection laws, regulations and supervisory ...ensure regulatory readiness. In order to provide your financial institution with the ...
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Our Financial Services Regulatory practice
... leading financial institutions and have invested in building a large team that can cover a very wide scope of ...the regulatory systems that exist in those regions ...
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Financial Services Board Regulatory Examinations
... 8 Awareness of the specific obligations in terms of the relevant Code of Conduct and other subordinate legislation... 23[r] ...
A single unified supervisory authority for financial services in Malta and beyond - some legal and regulatory issues
... It is also the tale of how a smallish regulato1y agency with an exclusively offshore mission found itself re-constituted and re- designed into a more substantial regulat[r] ...
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Our Financial Services Regulatory Advisory Services Practice
... • Evaluate the possible structure / distribution arrangement etc. of the proposed products which fulfil the authorisation requirements Investment Products Authorisation • Provide preliminary advice on the ...
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Compliance and Regulatory Consulting services for the financial services industry.
... Chris Lombardy | Managing Director - New York t: +1 646 867 7824 e: chris.lombardy@kinetic-partners.com Chris is a Managing Director in our Compliance and Regulatory Consulting Practice in New York. Chris has over ...
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Financial Services Issues for Senior Citizens
... the financial product being considered, the ability to recoup the purchase price or principal on the product, the relative liquidity and marketability of the product, the anticipated return on the product under ...
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Service Quality Issues in Financial Services
... Financial Services Research Forum 11 Several attempts have been made in marketing literature to conceptualise and measure e-service quality. WebQual 12 is an instrument which provides an understanding of ...
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Overview of CII Financial Services Regulatory Qualifications
... other issues on investment planning CF3 Candidates should be able to understand the: • Purpose and scope of financial protection products and how they interact with State benefits • Main features and ...
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The Regulatory Implications of Mobile and Financial Services Convergence
... payment services. Similarly, whereby many financial products are marketed and sold remotely in mature markets, low financial literacy and immature product standards in developing markets may make ...
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Legal and regulatory aspects of mobile financial services
... MFS services, but may primarily be pharmacies, mobile airtime sale kiosks, lottery kiosks, post offices or grocery ...and financial literacy, to transition to providing more comprehensive MFS-type ...
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G economic and regulatory Landmin - Financial Services
... to financial services providers wishing to diversify and may afford customers better product information than they would have ...used. Financial institutions are required to establish privacy ...
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THE FUNDING OF THE IRISH FINANCIAL SERVICES REGULATORY AUTHORITY
... 63. What feedback can I expect on the consultation process? On receipt of each submission a letter will be sent acknowledging the documentation that has been received. If necessary we may contact the Regulated Entity or ...
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Financial Services Regulatory Group - U.K. Capabilities
... Financial Services Regulatory Group Jacqui Hatfield is a partner of and is head of the ...U.K. Financial Services Regulatory Group, which forms part of wider Financial ...
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Prioritizing Regulatory Compliance in the Financial Services Industry
... A Direct Comparison is Key To determine the value of a solution, let’s look at two scenarios. The general counsel of a bank has been told by a long-time manager in a highly successful, revenue-producing New York branch ...
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