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Home » Archives for November 2013
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FCA thematic review focussed on Oversight Risk and Resilience Risk
Firms to determine which regime will apply
Further detail on how IFPRU firms will have to report
FCA able to receive reports from 1 January
First four Trade Repositories registered; reporting obligations begin 12 February 2014
New thematic review on use of dealing commission announced by FCA CEO
FCA proposing new Data forms to be submitted via GABRIEL
Update on high risk jurisdictions
JMLSG Guidance changes to Parts I and III
FCA looks to improve clarity of rules
Recent sanctions and reminder of new rules in 2014
Findings from thematic review
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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