Regulatory Alerts1996-10-03 | D4/73Added · Updated
Circular D4/739 on the Placement of Client Funds (Reference to Circular D4 96/1)
The Banking and Financial Commission requires statutory auditors of securities firms to submit a special report on the effective compliance with the new regulations under Article 167 of the Law of 6 April 1995. This report must be transmitted to the Commission no later than 25 October 1996.
BANKING AND FINANCIAL COMMISSION Prudential supervision of investment firms Brussels, 3 October 1996. D4/739
CIRCULAR LETTER TO THE STATUTORY AUDITORS OF SECURITIES FIRMS
Dear Statutory Auditor,
Please find attached a copy of the letter that I am transmitting today to the securities firms.
Pursuant to Article 167 of the Law of 6 April 1995, I kindly request that you transmit to me by 25 October 1996 at the latest a special report on the effective compliance with this new regulation.
Please accept, Dear Statutory Auditor, the expression of my distinguished sentiments.
The President,
avenue Louise 99 - 1050 Brussels Tel.: (02) 535.22.11 Fax: (02) 535.24.23
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