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Home » Archives for March 2014
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18th Mar 2014
RTS concerning calculation of CRD IV own funds
FCA statement on risk mitigation techniques relating to OTC derivative trades not cleared by a CCP
Remuneration and Risk Takers: RTS adopted on the identification of 'material risk takers'
Guidelines introduced on submission of SARs
HMRC has updated its Guidance Notes
The FCA is undertaking a review of best execution in different markets
CP14/4 contains other proposals of interest to AIFMs
Both the European Parliament and the European Council appear to have reached wording agreement UCITS V
The FCA's CP14/4 proposes to introduce guidance on SYSC 19C
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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