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FCA publishes initial findings of call for input on crowdfunding
FCA publishes FSCS consultation paper
FCA publishes consultation paper on enhanced conduct of business rules for CFDs
EBA publishes Discussion Paper on design of new prudential regime
FCA publishes interim report on asset management market study
European Commission proposes one year extension of PRIIPs regulation.
A useful summary of the Article 50 situation “in less than 500 words” prepared by Chris Finney of Cooley LLP
FCA raises concerns over inappropriate influence of introducers over authorised firms’ investment choices
FCA publishes Consultation Paper CP16/24 reviewing qualifications
Firms may unintentionally and unnecessarily hold permission ‘advising on P2P agreements’
Treasury publishes Consultation Paper on transposition of 4MLD
European Parliament rejects proposed PRIIPs Regulatory Technical Standards
The European Commission proposes amending regulations covering EuVECAs and EuSEFs.
HM Treasury issues open consultation on recommendation to amend the definition of regulated advice.
CSSF — Mandatory Notification for UK firms in the context of Brexit
The Luxembourg financial regulator, the CSSF, published a press release on 15 July 2019 informing UK firms that...
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...
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