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 change of London address Of relevance to: All firms regulated by the FCA Key date: From June 2018 – update websites, literature,...
GDPR Compliance is now a board level responsibility Of relevance to: All FCA-regulated firms Key date: Applicable from 25 May 2018 The Financial Conduct Authority (“FCA”)...
