Can you prevent a Civil Financial Penalty whilst working remotely?
ObenView Issue 8: The Compliance Policy and the Compliance Risk Assessment
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09.06.2020 Company News Law RegulatoryObenView issue 9: Can you prevent a Civil Financial Penalty whilst working remotely?
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02.04.2020 Company News Law RegulatoryChange in practices: continuing standards (COVID 19 and working from home)
Covering topics of: CDD, Data Protection, Voice Recording, Short Selling and other fund matters Applicable to: each financial industry sector, investment businesses, funds and fund services businesses These unprecedented circumstances …
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11.03.2020 Company News RegulatoryOben appoints assistant manager to the team
Oben is pleased to announce the appointment of a new employee, Amy Hamon who has joined as an assistant manager in the firm’s regulatory practice. Prior to joining Oben, Amy …