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FCA contacts some firms
Changes are being made to the Disputes Resolution Sourcebook: Complaints Sourcebook (DISP) of the FCA Handbook.
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.
12th firm fined by Regulator for transaction reporting failures
FCA takes enforcement action for Custody Failings
FCA Regulated Fees and Levies Rate Proposals 2015 to 2016 published
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
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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