Central Bank publishes findings of Thematic Review of investment firms’ compliance with ‘Best Execution’ requirements for consumers. Under MiFID regulations, Best Execution requires investment firms to take sufficient steps in order to obtain the best possible outcome for consumers. Some firms failed to demonstrate effective oversight, monitoring, and assurance of how Best Execution requirements were […]
It has come to the attention of the Central Bank of Ireland (‘Central Bank’) that a fraudulent entity, calling itself UBS Fund Services Ireland, has been operating as an investment firm / investment business firm in the State in the absence of an appropriate authorisation. In this instance, the fraudulent entity cloned and impersonated a […]
Publication Date: 10/05/2017 Theme: Research and Statistics Topic: Statistics Original Article
