Tag Archives: FAQs

ESMA Market Abuse FAQs 2018

On Oct. 1, 2018, EU ESMA issued its updated FAQs on the implementation of MAR. New questions on delayed disclosure of inside information under art. 17(5) of MAR. Q5.3 on the elements credit/financial institution should consider in the assessment of the relevant conditions when they plan to delay disclosure of inside information. Answer: it must…
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FINTRAC Political Person FAQ

On May 11, FINTRAC issued FAQs on politically exposed persons. FAQs regarding identification, treatment of politically exposed persons in Canada. Including for the heads of international organizations, and their family members. Follows FINTRAC Dec. 2016 guidance on politically exposed persons. Overview Per legal requirements, Canadian financial institutions, life insurance providers, securities dealers and money services…
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