- in the category: Regulatory Update: UK
This edition includes - First Market Investigation Reference to the Competition and Markets Authority, FCA Handbook Changes, PRA’s Current Focus to IFRS 9, Dunraven Finance Ltd Placed Under Administration, Charles Palmer Fined for Breaching Principle 6 for Approved Persons
This edition includes - FCA Consults on the Implementation of the Fourth Money Laundering Directive, ESMA Updates its MiFID II Q&As, ESMA Guidelines on MiFID II Product Governance Requirements
This edition includes - Conduct Rules to All NEDs in the Banking and Insurance Sectors, Whistleblowing in UK Branches of Foreign Banks, European Parliament Rejects the European Commission Blacklist of States at Risk of Money Laundering, Wolfsberg Group Updates Guidance on Politically Exposed Persons (PEPs), JMLSG Revises Parts II and III of its Risk-Based Guidance in Line with Proposed Money Laundering and Terrorist Financing Regulation
This edition includes - The FCA Publishes its Mission and Business Plan, MiFID 2 – Level 2 Measures Published in the Official Journal of the EU, Court of Appeal Grants the Appeal of the NCA Against Bank Orders Executed Without its Permission
This edition includes - FCA Quarterly Consultation, Guidance on the Treatment of PEPs Under the Money Laundering Regulations 2017, UK Government Review of AML/CFT Regime, JMLSG Consults on Revised AML/CFT Guidance for the UK Financial Sector, FCA Fines Former Investment Banker for Sharing Confidential Client Information
This edition includes - FCA Discussion Paper on Illiquid Assets and Open-Ended Investment Funds, MiFID 2 - HM Treasury Response to Consultation on UK Transposition, ESMA Revised ITS on Position Reporting
This edition includes - FCA Confirms Industry Guidance for BCOBS, FCA’s Future Mission - Key Themes from Feedback, MiFID 2 – FIA Due Diligence Questionnaire for IT Outsourcing and Procurement
Includes updates from the FCA and the PRA, MiFID II/MiFIR, MAR/MAD, UCITS V/AIFMD
In this edition, we look at the latest updates from the FCA, MiFID II and the latest developments on the Senior Managers & Certification Regime (SM&CR)
In this edition we review regulatory events and initiatives for the month of January 2016.
In this edition we review regulatory events and initiatives for the month of December 2015.