NGX RegCo Unveils Code For Licensed Trading Firms' Approved Persons
Nigerian Exchange (NGX) Regulation Limited has announced the release of the ‘Code of Conduct for Approved Persons of Trading License Holders’ of NGX, in
Source: leadership.ng
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Kevin Greenard: Know Your Product (KYP) obligations - Victoria Times Colonist
KYP regulation simply codifies and underscores the responsibility of Wealth Advisors and Portfolio Managers.
Source: timescolonist.com
FCA takes enforcement action against broker for market abuse identification and reporting failures – behind the headlines | Allen & Overy LLP
Although, the FCA’s press release announcing its enforcement action against Sigma Broking Limited (Sigma) refers to “market abuse reporting failures”, some of the most interesting...
Source: jdsupra.com
Vicky Pearce: Limiting SMF liability
Advisers may be used to PI insurance to cover their firms, but what about covering the risk individual senior managers pose?
Source: moneymarketing.co.uk
Kevin Greenard: Pushing proprietary products
Brokerage firms, banks, and insurance companies often create their own in-house product, referred to as proprietary products. They are proprietary because they can only be sold by the firm that . . .
Source: timescolonist.com