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HMT consultation provides further detail on proposals for regulatory reform
FSA publishes statement alerting firms to the possible impact of events on their AML and PEP procedures
Changes to MAR 1 following ECJ decision
FSA report reveals latest HFS and HFACS survey results including average returns, portfolio liquidity and counterparty exposures
Guidance on lines 142 and 143 in relation to capital planning buffers
FCA Financial Crime Guide to have new chapter on insider dealing and market manipulation
Of relevance to: All firms subject to the financial crime rules in SYSC 6.1.1R, and who arrange...
FCA releases near final rules on SM&CR for FCA regulated firms.
On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for...
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