ObenView Issue 8: The Compliance Policy and the Compliance Risk Assessment

  • ObenView issue 9: Can you prevent a Civil Financial Penalty whilst working remotely?

    Can you prevent a Civil Financial Penalty whilst working remotely?

  • Change 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 …

  • Oben 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 …