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Compliance function guidelines
EU Commission publishes draft revised Directive
Proposed Directive could have significant implications for EU financial institutions and those transacting with them
Handbook changes published by FSA
Proposed changes to COLL clarifying money market fund definitions
Areas under consideration include High Frequency Trading and transaction reporting
Regulation of OTC derivatives
FSA Drafting error
Rights issue disclosure requirements being narrowed slightly
BaFin impose ban
No more shorting in Greece
CESR has requested a 'Call for Evidence' to assess European equity markets
Two-thirds of hedge funds could exist within UCITS wrapper
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...
5ᵗʰ Money Laundering Directive — 10ᵗʰ January 2020
Money Laundering Regulations On 10 January 2020 changes to the UK’s Money Laundering Regulations are coming into force....
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