folder MiFID Investment Firms

Materials relevant to Investment Firms. 

Documents

default CEBS Guidelines on CRD3 implementation Popular

By 188 downloads

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CRD3-CEBS-Guidelines-Dec10.pdf

CEBS Guidelines on the implementation of Third Capital Requirements Directive.

default CEBS Survey best practice after Jerome Kerviel Popular

By 182 downloads

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CEBS_survey_Kerviel_governance_good_practice.pdf

Results of a survey by CEBS inquiring into governance best practice after rogue trader losses suffered by SocGen. Published July 2008.

default CRD2 & CRD3 Implementation Guide Popular

By 183 downloads

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CRD2-CRD3-Implementation-Guide-Dec10.pdf

Central Bank Implementation Guide to Second & Third Capital Requirements Directive. Published December 2010.

default MiFID Compliance Manual Template Popular

By 648 downloads

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MiFID-Compliance-Manual-Final.pdf

default MiFID Procedures Manual Template Popular

By 335 downloads

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MiFID-Procedures-Manual-Final.pdf

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