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Home » Archives for December 2013
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23rd Dec 2013
Group published response to FCA thematic report
A reminder that firms will need to consider applying for a LEI
Annual consultation paper published by FCA
ESMA publishes final report on derivative transactions which will have a 'direct, substantial and foreseeable' effect within the Union
HM Treasury publishes country-by-country disclosure requirements under CRD IV
FCA consultation paper on uses of dealing commission published
HM Treasury intends to amend AIFM Regulations 2013 which will impact all AIFMs making use of the transitional provisions
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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