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FCA feedback on thematic review of commodities trading
New strategy moves away from C1 – C4 conduct categories
Read-only access to ONA no longer available from 23 October
FCA consults on proposed Handbook amendments.
The European Commission adopts new Delegated Regulation, concerning mandatory clearing of OTC derivatives
ESMA publishes its Review of the EMIR Framework (2015/1254)
The FCA issues a further set of Q&As to assist firms encountering problems meeting Annex IV reporting requirements.
Aimed at the wholesale market, Tracey McDermott's speech gives clues to the questions all firms should expect to be asked in the context of conduct risk
The FCA and HM Treasury has launched the Financial Advice Market Review (FAMR)
A high-level overview of recent items of regulatory interest for August
ESMA issues advice of extension of AIFMD passport
SEC expresses its views on the application of Rule 204A-1
ESMA consultation published
New rules for dual-regulated firms come in to force and revised proportionality guidance issued
FATF produces report on gold sector
FCA publishes guidance on the risk to customers
FCA completes CASS compliance review of 24 firms
Further changes to DISP to come into effect
Final fees published; PGS levy introduced
HM Treasury issues consultation on changes to the Limited Partnership Act 1907
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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