Activity
Disclose required information
Disclose required information
Organisation
Responsible
Staff
Consulted
Senior Management
Input/Output
Output data
Disclosure reports
Requirements
Requirements (Basel II)
Credit risk disclosure
Capital adequacy disclosure
Operational risk disclosure
Interest rate risk in the banking book disclosure
Market risk disclosure
Equities disclosure
General qualitative disclosure requirement
Capital structure disclosure
Requirements (SOX)
Section 409: Real Time Issuer Disclosures
Section 302: Corporate Responsibility For Financial Reports
Section 402: Enhanced Conflict of Interest Provisions
Section 403: Disclosures Of Transactions Involving Management And Principal Stockholders.
Section 401: Disclosures In Periodic Reports
Section 407: Disclosure of Audit Committee Financial Expert
Section 406: Code of Ethics for Senior Financial Officers
Section 202: Preapproval Requirements.
Requirements (MIFID)
Article 19 Conduct of business obligations when providing investment services
Article 23 Obligations of investment firms when appointing tied agents
Article 27 Obligation for investment firms to make public firm quotes
Article 26 Inducements
Article 18 Conflicts of interest
Article 30 Post-trade transparency requirements for MTFs