|
Download
Below you can find some of our presentations and other papers available for
downloads related to regulatory-compliance affairs.
Autumn Compllex Business Breakfasts - UCITS IVHere you can find the presentation from Autumn Compllex Business
Breakfast on the topic "UCITS IV - MiFID collective investing " held on November 11th 2010.
Autumn Compllex Business Breakfasts - The rules of remuneration
Following the Autumn Compllex
Business Breakfast on the topic of "The end of bonus? - a revolution in
the rules of remuneration in the financial sector (implementation
of CRD III in the Czech Republic)" held on October 21st 2010 you can
find the propriate presentation here.
Autumn Compllex Business Breakfasts - New rules of managing and controlling system
Following the Autumn Compllex Business Breakfast on the topic of
"Focused on management - duties of top management according to the
revised conception of managing and controlling system (implementation
of the new CRD regulation in the Czech Republic)" held on 30th
September 2010 we publish the presentation here.
Summer issue of Compliance Journal 2007Within a few weeks a
new MiFID regulation in member states will come into force. This new
issue of Compliance Journal tries to point out new bussines
opportunities and challenges possibly brought with this new regulation.
Download in pdf here.
Spring issue of Compliance Journal 2007
This issue of Compliance Journal analyses clients´ forms in
accordance with the new MiFID regulation. Other subjects include
upcoming regulation of consumers´ lending or unclarities about the
journal of an investment firm. Download in pdf here.
Autumn issue of Compliance Journal 2006Current issue of
Compliance Journal is primarily focused on problems in the new MiFID
regulation of investment services. Primarily issues with the
clients´ categorization, suitability and appropriateness tests and best
execution policy are being outlined. Upcoming regulation of the
insurance system known as Solvency II did not stay out of our interest.
Download in pdf here.
Summer issue of Compliance Journal 2006At the end of June a
new issue of Compliance Journal came out. Implementing compliance
system according to the implementation of Basel II is among primary
subjects. An article concerning requirements for individual files of
investment instruments should not escape your notice.
Download in pdf here.
Winter issue of Compliance Journal 2005/2006New funds (funds
of qualified investors and special real estate funds) and prospects of
financial market regulation after the integration of supervision to the
Czech national bank are fundamental topics of this issue. Established
case study, this time on the topic of investment consultants, is also
included. Downlaod in
pdf here.
Summer issue of Compliance Journal 2005This issue is focused
especially on suggestions of the Ministry of finance for upgrading
services in the banking sector and an acceleration of the regulators´
integration. All interested in derivatives can also find out some
of the international standards of OTC derivatives negotiation.
Case study this time refers to banks´ table of charges. Download in pdf here.
Spring issue of Compliance Journal 2005This issue brings
among other materials one of the article of the series on news of
the Directive 2004/39/EC. An accent is mainly laid on the structure and
content of investment services. Popular case study is included. Download in pdf here.
Winter issue of Compliance Journal 2004/2005
This issue of
Compliance Journal concentrates on the most important news of
a definition of investment instruments according to the new European
Directive s2004/39/EC concerning administration of investment
services. Also you will find more topics, for example thought on
concept of professional investor. Download in pdf here.
|
|
