MFA submitted comments to the European Securities Markets Authority on its consultation paper on Guidelines on certain aspects of the […]
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Issues & Policy 
MFA Submits Comments to ESMA Regarding MiFID Compliance Requirements02.24.12
MFA submitted comments to the European Securities Markets Authority on its consultation paper on Guidelines on certain aspects of the […]
Topics: European Securities and Markets Authority ESMA, MiFID, consultation paper, internal compliance, investment firm, compliance officers, chief compliance officer, ESMA Consultation of 22 December 2011, investment firms, monitoring, reporting, advisory activities, risk-based approach, compliance policies and procedures, compliance reports, supervisory tools, corporate group, centralized compliance function, principle of proportionality, IT resources, IT personnel, competent authorities, risk management, adequate stand-in arrangements, organizational structure, regulatory requirements, organizational requirements, functional independence, risk management function, internal audit function, professional qualifications and expertise,