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CCL Regulatory Update: UK Edition - June 2020

This edition includes - FCA Guidance on Assessing Adequate Financial Resources, PRA Statement on Electronic Signatures, ESMA Guidance on Compliance Function Under MiFID II, Official Journal Amended List of High-Risk Third Countries, FCA Fines Lloyds Bank Plc, Bank of Scotland Plc and The Mortgage Business Plc.

CCL Regulatory Update: UK Edition - May 2020

This edition includes - FCA Extends Period to Cover Absent Senior Managers, FCA Allows Individuals to Carry Over CPD from COVID-19, ESMA Issues Public Statement on COB Obligations from Increasing Retail Activity, FATF COVID-19 Related Money Laundering and Terrorist Financing Risks.

CCL Regulatory Update: UK Edition - April 2020

This edition includes - FCA on Received Queries on Clients Assets Compliance During COVID-19, FCA Messages Firms Can Provide for Customers on Investments Following Market Volatility, ESMA Publishes Advice to the European Commission on Inducements and Costs and Charges Disclosure, FATF Statement on Measures to Combat Illicit Financing.

CCL Regulatory Update: UK Edition - March 2020

This edition includes - FCA Information for Firms on Coronavirus Response, FCA’s Speech on Cryptoassets, Financial Regulation and Preventing Financial Crime for Digital Assets, COVID-19 Regulatory Reporting Amendments, ESMA Statement on COVID-19.

CCL Regulatory Update: UK Edition - February 2020

This edition includes - FCA Webpage on Considerations for UK Firms After the Transition Period, PRA’s Methodologies for Setting Pillar 2 Capital, ESMA Clarifies Governance and Reporting Obligations for UK Entities Following Brexit, Formal Notice to Eight Member States to Transpose the 5th AML Directive.

CCL Regulatory Update: UK Edition - January 2020

This edition includes - FCA Information for Firms During Brexit Implementation Period, Bank of England and FCA Encourages Switch from LIBOR to SONIA, ESMA Update on Governance and Reporting Obligations for Brexit, FCA Becomes AML/CTF Supervisor of UK Cryptoasset Activities.

CCL Regulatory Update: UK Edition - December 2019

This edition includes - New Form to Notify FCA of Management Body Changes for Non-SMF Directors, Special Requirements Regarding Whistleblowing Systems and Controls at the Society of Lloyd’s, The Money Laundering and Terrorist Financing Regulation 2019, FCA Fines PPC for Misleading Consumers and Banks.

CCL Regulatory Update: UK Edition - November 2019

This edition includes: FCA Bans Promotion of Speculative Mini Bonds to Retail Customers, Basel Committee on Banking Supervision on the Interaction between Prudential and AML/CTF, UKFIU Publishes New Glossary Codes and Reporting Routes on SARs, FCA and PRA Publish Decision Notices to Former CEO for Reducing Tax Liability.

CCL Regulatory Update: UK Edition - October 2019

This edition includes - Treasury Committee on IT Failures in the Financial Services Sector, ESMA Launches a Call for Evidence on the Effects of Product Intervention on CFDs and Binary Options, HM Treasury Publishes Advisory Notice on AML High-Risk Countries, ESMA Updates MiFID II Q&As.

CCL Regulatory Update: UK Edition - September 2019

This edition includes - FCA on Guidance for the Fair Treatment of Vulnerable Customers, Strengthening Individual Accountability – SM&CR, FCA Review on MiFID II Implementation – Research Unbundling Reforms, FCA on the National Private Placement Regime.

CCL Regulatory Update: UK Edition - August 2019

This edition includes - FCA Agrees Plan for Phased Implementation of Strong Customer Authentication, EBA Advises the European Commission on the Implementation of the Basel III Framework, FATF Consolidated Assessment Ratings.

CCL Regulatory Update: UK Edition - July 2019

This edition includes - FCA Fines Standard Life Assurance Limited for Non-advised Pension Sales Failures, FCA’s Dear CEO Letter to Wealth Management and Stockbroking Firms, FATF Terrorist Financing Risk Assessment Guidance, SM&CR - FCA Updates timeline of Form O.