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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 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”)...
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