CPD Weekly "10 Minute Read 'n Verify" - 28 Sept 2017
This short test enables you to verify that you have read this week's "CPD 10-minute Read 'n Verify" e-mail.
There are three multiple-choice questions. You have 15 minutes to answer and you will have the option of a second attempt to correct any wrong answers. A " 100% success" result can be used to verify your claim to 10 minutes CPD time and will be recorded automatically, but please take a "screen .print" if you need an immediate personal record.
Derivatives regulator warns over violation of trust and co-operation (copy)
Financial Times: Global fund houses hold crunch talks with FCA to clarify MiFID
- Asset managers asked for changes to MiFID
- They lobbied the European Commission
- They asked the FCA to clarify the new rules
ESAs highlight main risks for the EU financial system
- UK withdrawal from the EU poses risks
- The ESAs report on business opportunities
- The Report is on political risks
ESAs provide guidance to prevent terrorist financing and money laundering in electronic fund transfers
- The ESAs want a consistent approach to AML/CFT
- This guidance is to customers
- It is the only ESA work on AML/CFT