+44 (0)20 7399 4980
Home » Regulatory News » Page 12
I want to find news on...
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
FCA contacts some firms
Changes are being made to the Disputes Resolution Sourcebook: Complaints Sourcebook (DISP) of the FCA Handbook.
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...
Please leave this field empty.