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5ᵗʰ Money Laundering Directive — 10ᵗʰ January 2020

Cryptoassets: AML/CTF Regime

FCA extends the Senior Managers and Certification Regime to 47,000 firms

FCA to ban promotion of speculative mini-bonds to retail consumers

New form to notify FCA of management body changes for non-SMF Directors

The FCA fines Tullet Prebon £15.4m

FCA finds MiFID II research unbundling rules working well for investors

FCA data shows 4.29m complaints for first half of 2019

Non-UCITS Retail Schemes — Illiquid Assets

Risk Adequacy – Embedding the Process

Risk Adequacy: Assembling the Building Blocks

Complyport & CalQRisk Risk Adequacy Webinar Recording

Complyport & Fieldfisher’s SM&CR Webinar recording

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

CSSF — Mandatory Notification for UK firms in the context of Brexit

New EU cross-border distribution rules published in the Official Journal

The FCA acts to protect consumers transferring out of defined benefit pension schemes

The FCA provides clarity on current crypto-assets regulation

Fund Managers and the Pension Transfer Trap

The FCA and the Dutch Authority for the Financial Markets (AFM) agree on closer partnership