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Home » Archives for July 2012
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Client Money and Assets and UCIS discussed
FATF updated lists
Discount on FSA fees under threat?
FRC aims to improve clarity over certain terms
EC publishes draft proposal
Greater protection for retail clients proposed
Aims to raise standards
ESMA paper contains guidelines for firms
Broadly similar to Remuneration Code
Topics include risk measurement
Takeover Panel proposes to remove residency test
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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