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Home » Archives for March 2014
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18th Mar 2014
The FCA's CP14/4 proposes to introduce guidance on SYSC 19C
Both the European Parliament and the European Council appear to have reached wording agreement UCITS V
CP14/4 contains other proposals of interest to AIFMs
The FCA is undertaking a review of best execution in different markets
HMRC has updated its Guidance Notes
Guidelines introduced on submission of SARs
Remuneration and Risk Takers: RTS adopted on the identification of 'material risk takers'
FCA statement on risk mitigation techniques relating to OTC derivative trades not cleared by a CCP
RTS concerning calculation of CRD IV own funds
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...
FCA change of London address
Of relevance to: All firms regulated by the FCA Key date: From June 2018 – update websites, literature,...
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