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FCA concludes most firms have failed to take on board previously published work
JMLSG consults on changes to the Guidance
A reminder of the annual submissions due to the SFC by Friday 28 April 2017 for firms having their financial year ending December:
HM Treasury has announced the creation of a new watchdog that will tackle potential weaknesses in the money laundering supervisory system that criminals and terrorists may be trying to exploit.
Regulation transposing 4MLD into national law published
FCA sends Dear CEO letters
FCA publishes statement regarding failing oversight of best execution
UK to change definition of regulated advice
Feedback from discussion paper prompts FCA to reform the Initial Public Offerings process
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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