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FSA's overall Annual Funding Requirement to increase by 11.9%
FSA fines director £60k for failings in relation to promotion of UCIS and prohibits him from continuing as an approved person
FSA and HM Treasury publish near-final rules which will result in changes to the PR and DTR modules of the FSA Handbook
Action taken against firm and MLRO for failings including inadequate review of AML systems and controls and poor record keeping of staff AML training
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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