+44 (0)20 7399 4980
Home » Archives for January 2016
I want to find news on...
The advent of automated retail advisers - Robo Advisers opens a new set of compliance challenges and brings issues of suitability back into frame
The European Commission has published a Delegated Regulation addressing further matters relating to Market Abuse Regulation 596/2014
On 11 January 2016 the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2016 Examination Priorities.
The EBA has published its final Guidelines on sound remuneration policies under CRD 4
The FCA publishes CP16/1 “Consequential changes to the Senior Managers Regime” amending the concept of the ‘presumption of responsibility’ within SMR
ESMA publishes its final report on the guidelines specifying criteria for the assessment of knowledge and competence as required Under Article 25(1) of MiFID 2 (2014/65)
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...
ICO: Data Protection registration and fees
Of relevance to: All firms processing personal data, including data controllers currently registered with the ICO Key date:...
Please leave this field empty.