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Articles by Miguel Stokes
The Foreign Investment Regulation Review: Portugal
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Enforcement of financial services regulations in Portugal | Lexology
Enforcement Investigatory powers What powers do national financial services authorities have to examine and investigate compliance? What enforcement powers do they have for compliance breaches? How is compliance examined and enforced in practice? The national financial services authorities - namely the Bank of Portugal, the CMVM and the ASF - enjoy a wide array of powers to examine and investigate compliance with financial services regulations.
Compliance programmes for financial services firms in Portugal | Lexology
Compliance programmes Programme requirements What requirements exist concerning the nature and content of compliance and supervisory programmes for each type of regulated entity? Portuguese law focuses more on requiring financial entities to adopt internal structures and policies that ensure the compliance and supervisory function, than on detailing the specific contents that such programmes shall include, which is ultimately the responsibility of the boards of directors.
Financial Services Compliance in Portugal | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services?
Financial Services Compliance in Portugal | Lexology
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services?
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