Regulatory Alerts2018-08-22
Added · Updated
Circular CSSF 18/699 — Update of table Investment Firm Persons responsible for certain functions and activities
The update introduces the appointment of a single agent, other than a member of the authorised management, with special responsibility for compliance regarding the protection of customer assets. It also requires the appointment of a member of the authorised management to monitor the implementation of ESMA guidelines on knowledge and competence assessment and Circular CSSF 17/665. These changes apply to all investment firms and are based on the Grand-ducal Regulation of 30 May 2018.
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