Regulatory Update: UK Edition – May 2022

This edition includes - FCA CEO Nikhil Rathi speech: “Learning from the last 30 years to face the next”, BoE…
Read more

Regulatory Update: UK Edition – April 2022

This edition includes - FCA speech on critical issues in financial regulation, Bank of England considers central bank digital currency,…
Read more

Regulatory Update: UK Edition – January 2022

This edition includes - FCA Publishes Webpage on MIFIDPRU Remuneration Code, PRA Published Letters Addressed to CEOs Setting Out its…
Read more

Regulatory Update: UK Edition – December 2021

This edition includes - FCA proposes stronger requirements on oversight of Appointed Representatives, PRA statement on Pillar 2A requirements, EBA…
Read more

Remote Online Testing Available for Candidates Seeking to Take Futures Industry Proficiency Exams

In Notice I-21-03, NFA announced that starting on January 19, 2021, NFA registration candidates that need to take the Series…
Read more

FINRA Virtual Event Gifts, Business Entertainment, and Non-Cash Compensation FAQ

FINRA recently published an FAQ concerning food and beverages provided by associated persons during virtual business entertainment events. FINRA Rule…
Read more

The impact of the IFPR on Exempt CAD Firms

The IFPR (Investment Firm Prudential Regime) is due to be implemented on 1st January 2022, and there are reasons to…
Read more

The UK's Fifth Anti-Money Laundering Directive (5MLD)

With our experience in AML/CTF standards we will work with your Firm to adopt the right approach to 5MLD 5MLD…
Read more

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…
Read more

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…
Read more

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…
Read more

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…
Read more

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…
Read more

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…
Read more

Regulatory Update: UK Edition - June 2021

This edition includes – FCA Updates & Developments including FCA Updates Authorisation Webpage for Change of Legal Status, PRA Statement…
Read more

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,…
Read more

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…
Read more

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…
Read more