Professional Clients and the Financial Ombudsman Service Changes are being made to the Disputes Resolution Sourcebook: Complaints Sourcebook (DISP) of the FCA Handbook.
Nearly There Fourth Money Laundering Directive Fourth Money Laundering Directive published in Official Journal
SEC Proposes Amendment to Form ADV Changes to Form ADV to affect SEC registrants and Exempt Reporting Advisers alike
Restrictions on Retail Distribution FCA to add new section to COBS 22 relating to retail distribution
Feature – Compliance Management As the increasing regulatory burden places more demands on a firm's time, ComplyTracker is an invaluable compliance management tool.
Capital Resources Requirements for Personal Investment Firms (PIFs) The FCA has published a Consultation Paper on the capital resources requirements for Personal Investment Firms.
FCA Financial Crime Guide to have new chapter on insider dealing and market manipulation Of relevance to: All firms subject to the financial crime rules in SYSC 6.1.1R, and who arrange...
FCA releases near final rules on SM&CR for FCA regulated firms. On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for...
