WebJun 1, 2013 · maj 2015–sie 20161 rok 4 mies. Team Manager in Poland's second largest bank responsible for designing, implementing,executing and supervising the execution of second level compliance controls in the area of MIFID, MAD, Depositary and Custody, EMIR and AML. Responsible for Compliance risk assessments according to group … Web- Advise Operational First Line on Compliance topics (AML&CTF, MiFID, Business Conduct, etc) - Ensure existing requirements and future reporting specifications are documented and tested - Develop operational compliance tools, (e.g. policies and procedures) and assist with the preparation of regulatory compliance reports.
Jarosław Nowacki – General Partner – TAU.legal LinkedIn
WebApr 10, 2024 · MiFID II: ECON published the report it has adopted on the European Commission's legislative proposal for a Directive amending MiFID II. FCA Quarterly … crystal clean maintenance
Key Regulatory Topics: Weekly Update 24 - 30 Mar 2024
WebThe AIFMD provides a secure, harmonised EU framework for regulating, monitoring and supervising the management and active marketing of AIFs (essentially collective investment undertakings other than Undertakings for Collective Investment in Transferable Securities (UCITS) under the UCITS Directive 2009/65/EC, as amended) in the EU. WebOct 22, 2015 · Experienced Compliance Officer, with a demonstrated managerial experience of working in the Financial Services industry for the last twelve (12) years. Skilled in Regulatory (MiFID I&II) and AML/CFT Compliance & Risk Management, EU Financial Services legal framework in regards to the AIF and AIFM post-trade compliance, … WebIn this role, Mauricio is responsible for the Firm’s compliance program implementation for both Italy and Spain, as well as promoting and ensuring the compliance with laws, regulations and policies inherent to Investment Services AML/CTF, MiFID/MIFIR and Market Conduct Compliance. dwain celistan