News

All our previous Newsletters and Briefing notes.

Gem Compliance Consulting’s range of services covers the full compliance cycle from helping clients to identify whether activities are regulated through to developing compliance procedures, compliance training and monitoring and to helping clients respond to changes in the regulatory environment or their own business activities.

ESMA publishes draft guidelines on certain aspects of the MiFID II compliance function requirements.

ESMA published a consultation paper (ESMA35-43-2019) setting out draft guidelines on aspects of the compliance functions requirements under the MiFID II package of measures. ESMA describes the compliance function as a crucial function within firms, responsible for identifying, assessing, monitoring and reporting on the firm’s compliance risk. Here is a link to Gem Compliace’s Briefing...
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FCA’s Review of principal firms in the investment management sector

ESMA published a consultation paper (ESMA35-43-2019) setting out draft guidelines on aspects of the compliance functions requirements under the MiFID II package of measures. ESMA describes the compliance function as a crucial function within firms, responsible for identifying, assessing, monitoring and reporting on the firm’s compliance risk. Here is a link to Gem Compliace’s Briefing...
Read More