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ELTIF regulation published in Official Journal
FCA issues market study Terms of Reference
Some professional clients will now be covered by the FOS regime
Fourth Money Laundering Directive published in Official Journal
FCA pilots new "task based" section of website
FCA publishes latest Hedge Fund Survey
EBA consultation period on "Sound Remuneration Policies" closes
FCA holds first ever Prudential Supervision Forum
Changes to Form ADV to affect SEC registrants and Exempt Reporting Advisers alike
FCA to add new section to COBS 22 relating to retail distribution
As the increasing regulatory burden places more demands on a firm's time, ComplyTracker is an invaluable compliance management tool.
MiFID 2 firms subject to more stringent regime
FCA publishes combined Risk Outlook and Business Plan
HM Treasury publishes Anti-Money Laundering and Counter Terrorist Finance Supervision report
European Council issues press release on the progress of the 4MLD
FCA publishes feedback on Financial Crime Guide
Delegated Regulation comes into force
European Council formally adopts Regulation on ELTIFs
Clarification from HMRC
12th firm fined by Regulator for transaction reporting failures
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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