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Intensive regulatory approach
Financial promotions COBS compliance
Are rules effective and proportionate?
A applications and notifications submission to change
Prosecution outside FSMA 2000
Poor controls and employee fraud
Now top financial centre
The final word?
FSA Feedback Statement on short selling
Global economic growth positive
Two-thirds of hedge funds could exist within UCITS wrapper
FSA 'credible deterrence' strategy
FCA change of London address
Of relevance to: All firms regulated by the FCA Key date: From June 2018 – update websites, literature,...
GDPR Compliance is now a board level responsibility
Of relevance to: All FCA-regulated firms Key date: Applicable from 25 May 2018 The Financial Conduct Authority (“FCA”)...
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