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HMT consulting on prospectus requirements
FSA publishes amended guidance on completion of certain data forms
Changes made to improve quality of auditors' reports on client assets
Reduction of financial crime will remain a priority
FSA propose amendments to reporting OTC derivatives
Guidance on lines 142 and 143 in relation to capital planning buffers
Changes to TC, appropriate qualifications and code of practice for approved persons
Proposal to provide FSA with prior notice of change
New guidance on centrally cleared CFDs
New data item for non-ILAS BIPRU firms
FSA clarify reporting requirements
FSA Consultation Paper
RBS fined for breaches of money laundering rules
Four small changes to data item FSA003
Many firms having to revisit transaction reporting procedures
impact on IMC
CSSF — Mandatory Notification for UK firms in the context of Brexit
The Luxembourg financial regulator, the CSSF, published a press release on 15 July 2019 informing UK firms that...
Complyport & Fieldfisher’s SM&CR Webinar recording
In our continual effort to help assist financial services firms with their on-going regulatory requirements, Complyport recently hosted...
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