Ommissions
Found 4 free book(s)
CR05/2021 Principles for the Regulation and Supervision of ...
www.iosco.orgOMMISSIONS. CR05/21 NOVEMBER 2021 . This paper is for public consultation purposes only. It has not been approved for any other purpose by the IOSCO Board or any of its members. ii . Copies of publications are available from: The International Organization of Securities Commissions website .
Final Report - eba.europa.eu
www.eba.europa.eu• The European ommissions post -mortem report on the assessment of recent alleged money laundering cases involving EU credit institutions2 that was published on 24 July 2019 and in which the Commission identified many failures by competent authorities in the way they had supervised banks involved in recent money laundering scandals. ...
FORM CA-1 - SEC
www.sec.govErrors and Ommissions $ $ 4. Mail Policy $ $ 5. Air Courier $ $ 6. Lost Instrument $ $ 7. Other (please specify on Schedule A) $ $ (b) If any of registrant’s clearing activities are not covered by insurance, has provision been made for self-insurance? ...
FR07/2021 Principles on Outsourcing
www.iosco.orgThe revised outsourcing principles comprise a set of fundamental precepts and seven principles (the “Principles on Outsourcing” or “these Principles”).