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Home » Archives for November 2013
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19th Nov 2013
Findings from thematic review
Recent sanctions and reminder of new rules in 2014
FCA looks to improve clarity of rules
JMLSG Guidance changes to Parts I and III
Update on high risk jurisdictions
FCA proposing new Data forms to be submitted via GABRIEL
New thematic review on use of dealing commission announced by FCA CEO
First four Trade Repositories registered; reporting obligations begin 12 February 2014
FCA able to receive reports from 1 January
Professional Clients and the Financial Ombudsman Service
Background Changes are being made to the Disputes Resolution Sourcebook: Complaints Sourcebook (DISP) of the FCA Handbook. The...
Fourth Money Laundering Directive: Proposed Amendments
As we know the UK (and other Member States) have until 26 June 2017 to implement the Fourth...
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