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Draft guidelines published by ESMA
Compliance function guidelines
Final Notice issued to firm
Total penalties down from 2010 to £66.14M
PwC fined £1.4M
Latest insider dealing case
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...
FCA Asset Management Conference – Insights
On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The...
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