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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 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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