Data Breaches and GDPR 22nd May 2016 On the 4th May 2016, the EU’s General Data Protection Regulation (GDPR) was published. Firms need to firm up their data breach procedures.
FCA Bans Compliance Officer for Life 20th May 2016 The FCA has banned Mr Peter Johnson, former compliance officer of Keydata Investment Services Ltd
Robo Advisers Present a New Set of Risks 15th Jan 2016 The advent of automated retail advisers - Robo Advisers opens a new set of compliance challenges and brings issues of suitability back into frame
Financial Advice Market Review 29th Aug 2015 The FCA and HM Treasury has launched the Financial Advice Market Review (FAMR)
FCA Regulation Roundup August – Highlights 25th Aug 2015 A high-level overview of recent items of regulatory interest for August
FCA Restructure and Supervisory Model 29th Apr 2015 FCA structure changes introduced to help embed new strategy
Professional Clients and the Financial Ombudsman Service Background Changes are being made to the Disputes Resolution Sourcebook: Complaints Sourcebook (DISP) of the FCA Handbook. The... 19th Jun 2015
Fourth Money Laundering Directive: Proposed Amendments As we know the UK (and other Member States) have until 26 June 2017 to implement the Fourth... 5th Feb 2016
