Financial Services Compliance

Financial Services Compliance will assist those who represent or are engaged with globally active institutions in navigating the regulatory requirements and frameworks of multiple jurisdictions. Topics covered with local expert insight include regulation and enforcement; registration or authorisation regimes; the powers of national financial services authorities; director duties and accountability; typical sanctions imposed for violations; applicability of private rights of action; required standard of care; importance of gatekeepers; and approach to cross-border issues.

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