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 FCA has confirmed permanent restrictions in the sale of CFDs and CFD-like options to retail consumers
FCA FIRDS and Transaction Reporting Should the UK leave the EU without a transition period, the FCA expects firms, trading venues and ARMs...
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...
