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Regulatory Update: UK Edition - September 2021

This edition includes - FCA publishes draft guidance to allow faster removal of regulatory permissions, PRA consultation paper on identification of material risk takers, ESMA consults on proposal for a review of the MiFID II Best Execution Reporting Regime, JMLSG publishes new guidance and Richard Faithfull sentenced to over five years imprisonment for money laundering.

Regulatory Update: UK Edition - August 2021

This edition includes - FCA consultation paper on new UK Prudential Regime for MiFID investment firms, ESMA Q&As, SFO charges persons with bribery and money laundering and Office of Financial Sanctions Implementation issues penalty on TransferGo Limited.

Regulatory Update: UK Edition - July 2021

This edition includes – FCA agreements with overseas regulators, PRA proposal to make changes to policy on designated investment firms, ESMA consults on remuneration requirements on MiFID II, Wolfsberg Group statement on demonstrating effectiveness in AML, and FCA fines LBGI £90 million for failures in communications.

Regulatory Update: UK Edition - June 2021

This edition includes – FCA Updates & Developments including FCA Updates Authorisation Webpage for Change of Legal Status, PRA Statement on Firm Authorisation under the TPR, EBA Assesses Benefits, Challenges and Risks of RegTech. Also included in this edition is Financial Crime and Enforcement Actions.

Regulatory Update: UK Edition - May 2021

This edition includes - FCA Updates Statement on the Operation of MiFID Markets Regime, EBA Consultation on Proposal for a Central AML/CTF Database and FCA Fines Sapien Capital Limited for Risk of Facilitating Fraudulent Trading and Money Laundering.

CCL Regulatory Update: UK Edition - April 2021

This edition includes - FCA Consults on New UK Prudential Regime for MiFID Investment Firms, PRA Publishes Consultation Paper to Correct Remuneration Definition, ESMA Updates SFTR Q&As, JMLSG Publishes Proposed Revisions to Part II of its Guidance, FCA Stops FXVC Offering CFDs to UK Customers.

CCL Regulatory Update: UK Edition - March 2021

This edition includes - FCA Launches Campaign to Encourage Individuals to Report Wrongdoing, PRA Publishes Statement on Expectations to Outsourcing and Third-Party Risk Management, ESMA Updates Q&As, ESMA Updates Q&As, FCA Fines and Prohibits Trader for Market Abuse.

CCL Regulatory Update: UK Edition - February 2021

This edition includes: FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA Consults on Appropriateness and Execution-only under MiFID II, FCA on Financial Crime Systems and Controls During COVID-19, FCA Launches High Court Proceedings Against Paul Steel and Jacqueline Foster.

CCL Regulatory Update: UK Edition - January 2021

This edition includes - FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA Consults on Appropriateness and Execution-only Under MiFID II, FCA on Financial Crime Systems and Controls During COVID-19.

CCL Regulatory Update: UK Edition - December 2020

This edition includes - FCA Reminds Firms to be Ready for End of Transition Period, PRA Evaluation of the Senior Managers and Certification Regime, ESMA Updates EMIR Q&As, FATF Publishes Update on COVID-19 Related Money Laundering and Terrorist Financing Risks, FCA Fines Barclays over Treatment of Customer in Financial Difficulty.

CCL Regulatory Update: UK Edition - November 2020

This edition includes - FCA Statement on Workplace Arrangements and Travel, ESMA Publishes Q&A on SFTR Reporting, FX Options Broker Fined for Misleading Information to Clients, FCA Charges Individual with Offence of Money Laundering.

CCL Regulatory Update: UK Edition - October 2020

This edition includes -FCA Further Extends and Amends Temporary Measures for Depreciation Notification, FCA Policy Statement on Extending the Certification Regime and Conduct Rules, ESMA Updates Statements on the Impact of Brexit on MiFID II/MiFIR, FCA Fines ARCM for Breaches of Short Selling Disclosure Rules.