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Home » Archives for April 2015
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29th Apr 2015
MiFID 2 firms subject to more stringent regime
FCA Regulated Fees and Levies Rate Proposals 2015 to 2016 published
FCA takes enforcement action for Custody Failings
12th firm fined by Regulator for transaction reporting failures
Clarification from HMRC
European Council formally adopts Regulation on ELTIFs
Delegated Regulation comes into force
FCA publishes feedback on Financial Crime Guide
European Council issues press release on the progress of the 4MLD
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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