Grath’s Post

🚀 The AMF (Autorité des Marchés Financiers), the Financial Markets Authority, is an independent public authority responsible for protecting savings, ensuring investor information, and maintaining market integrity.They recently shared their 2023 Annual Report! Check out this infographic on the key highlights, showcasing their achievements and strategic priorities. #AML #LCBFT #KYC #KYS #Finance #AMF #AnnualReport #Innovation #SustainableFinance #InvestorProtection

This achievement marks a significant milestone in my journey within the financial services industry. The Series VI exam focused on essential knowledge and skills related to depository operations, covering topics such as securities depository systems, clearing and settlement processes, regulatory frameworks, and much more. National Institute of Securities Markets (NISM) #SEBI #SeriesVI #DepositoryOperations #FinancialServices #ProfessionalDevelopment #CertificationSuccess

The Financial Conduct Authority recently published Market Watch 77 to address trading by organised crime groups, and how firms can mitigate the risks - such groups apparently accounting for a substantial component of the overall suspicious trading to be found in UK and internationally listed equities. Click for more about this in our February 2024 Regulatory Newsletter > https://ow.ly/rt5Q50QOwlM #fca #MarketAbuse #RQCGroup

🍽️ Join us for lunch and an insightful discussion on the topic of Private Credit. 💼 💡 Explore the dynamics shaping this evolving landscape and gain valuable insights into its investment opportunities. 🥪 📈 #LunchandLearn #PrivateCredit #CFA Sign up details below. See everyone April 16th!

Some of the notable U.S. regulatory news over the last quarter includes: • U.S. Securities and Exchange Commission broadens reporting requirements for short positions and short activities • SEC establishes new reporting requirements for securities lending transactions • AIMA - The Alternative Investment Management Association sues SEC over short sales and securities lending disclosure rules Click to read about these and other relevant recent U.S. regulatory news, developments and enforcements in our Q4 2023 Newsletter > https://ow.ly/sgbV50QrMpU #compliance #sec #cftc #nfa #RQCGroup

🌟 Exciting Announcement! 🌟 We are thrilled to announce that Bates Group Managing Director Christopher Riper will speak at the Financial Markets Association's (FMA) 2024 Securities Compliance Seminar! 📊📈🔍 If you are at the FMA Compliance seminar, join him TODAY April 18th, from 1:15 to 2:15 p.m. in Chicago, as he speaks on the "Continuing Challenges with Off-Channel Communications" panel. Gain insights into industry responses and best practices for navigating off-channel communication regulatory expectations. Learn more: https://hubs.li/Q02tlwkk0 #FMA2024 #SecuritiesCompliance #FinancialMarkets #BatesGroup #RegulatoryInsights #BatesGroup

The recent ‘Dear CEO’ letter from the UK’s Financial Conduct Authority (FCA) underscores the significant financial crime risks and increased scrutiny faced by wealth and asset management firms. The scale of consumers involved in this industry, with over 1.8 million portfolios and 14.3 million stockbroking accounts, elevates the sector's risk profile against money laundering concerns. Read 4 ways that wealth and asset management firms can transform compliance while maintaining quality customer experience: https://hubs.li/Q02g5GF20 #AML #Risk #Financialcrime #Wealthandassetmanagement

SMSF accountants.. below article for you.. which will help you during EOFY finalisation..

The Financial Stability Board (FSB): 🌐 Safeguarding the global financial system with recommendations that enhance market dynamics and minimize systemic risk. 📈 Joining forces for international cooperation in financial regulation! . . . #vpfx #MarketInsights #marketanalysis #trading #forextrading #trader #FSB #FinancialStability #GlobalCooperation

👀🚨 FCA’s Market Watch 77 looks at our observations on trade by organised crime groups (OCGs) and how firms can mitigate the risks of being used to facilitate their trade. 🦹🏼♂️🚨The FCA shares its characteristics of the activity of OCGs in equity spread bets and CFDs. 🏣👔The FCA also highlights what executing firms should be alert to around the possibility of them being used to facilitate insider dealing by members of OCGs. There is also a reminder of firms obligations under SYSC 6.1.1R. 💂♂️⚔️The FCA shares what firms can do to guard against OCGs. This includes communicating to all clients, both existing and prospective, that there is a zero-tolerance approach to market abuse. ⚒️👮🏻♂️The FCA has a range of tools at our disposal to enforce compliance of firms’ obligations under our Handbook. This includes FSMA s.166 reports, voluntary requirements, and own-initiative variation of permissions.