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The FCA has released consultation paper CP15/35 on the revised market abuse regime.
Safe Harbor scheme declared invalid
Government considers it appropriate to extend the Senior Managers Regime (SMR) and the Certification Regime (CR) to all financial firms
Consultation Paper CP15/31 proposes the introduction of new SYSC Chapter 22 ‘Regulatory References’
A new SYSC section, SYSC 18.4, introduces the concept of a whistleblowers’ champion
Steven Maijooradvises a second round of non-EEA country assessments will take place.
HM Treasury publishes first money laundering and terrorist financing National Risk Assessment (NRA)
FCA publishes “Smarter Consumer Communications: Removing ineffective disclosure requirements in our Handbook”.
In September the FCA published it consultation paper (CP 15/27) on the implementation of UCITS V
The three ESAs (ESMA, EBA and EIOPA) have published a joint consultation paper on simplified and enhanced customer due diligence guidelines
The International Tax Compliance Regulations 2015 (SI 2015/878) came into force in April this year placing new obligations on financial institutions
FCA publishes CP15/27 concerning UCITS V implementation
CP15/27 proposes changes to the Handbook on ELTIFs
Proposed miscellaneous changes to the Handbook in CP15/27
FinCEN proposing new rules for investment advisers
FCA’s Quarterly Consultation CP15/28 proposes amendments to the Handbook
FCA feedback on thematic review of commodities trading
New strategy moves away from C1 – C4 conduct categories
FCA FIRDS and Transaction Reporting
Should the UK leave the EU without a transition period, the FCA expects firms, trading venues and ARMs...
Senior Managers and Certification Regime: The FCA has published the final rules on the extension of the Senior Managers and Certification Regime (SM&CR) for solo-regulated firms
The SM&CR is being extended to FCA solo-regulated firms on 9 December 2019. The aim of the SM&CR...
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