FCA: Enhanced Supervision

The FCA publishes policy statement on how it will address serious failings of standards, governance and culture in firms; 'Tackling serious failings in firms'.

CASS: Overhaul of Regime

CASS Policy Statement 'Review of the client assets regime for investment business' (PS14/9) is published, with relevant firms facing changes to rules and guidance to be phased-in in three tranches.

Wholesale Markets Review

The government announces a review into wholesale markets and how they operate; a joint FCA/Bank of England/HM Treasury exercise.

EMIR: Additional Reporting

Firms subject to EMIR should be aware that additional (daily) reporting to a Trade Repository (TR) comes into force on 11 August.


MiFID II and the Regulation (MiFIR) texts agreed by both the European Parliament and the European Council

Remuneration under CRD 4

EU Official Journal publishes criteria identifying staff subject to CRD 4 remuneration requirements