Professional Clients and the Financial Ombudsman Service 19th Jun 2015 Changes are being made to the Disputes Resolution Sourcebook: Complaints Sourcebook (DISP) of the FCA Handbook.
Feature – Compliance Management 18th Jun 2015 As the increasing regulatory burden places more demands on a firm's time, ComplyTracker is an invaluable compliance management tool.
Restrictions on Retail Distribution 18th Jun 2015 FCA to add new section to COBS 22 relating to retail distribution
SEC Proposes Amendment to Form ADV 18th Jun 2015 Changes to Form ADV to affect SEC registrants and Exempt Reporting Advisers alike
Remuneration under CRD 4 – Update 18th Jun 2015 EBA consultation period on "Sound Remuneration Policies" closes
Nearly There Fourth Money Laundering Directive 18th Jun 2015 Fourth Money Laundering Directive published in Official Journal
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... 19th Jun 2015
Fourth Money Laundering Directive: Proposed Amendments As we know the UK (and other Member States) have until 26 June 2017 to implement the Fourth... 5th Feb 2016
