All the latest
compliance news,
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Enhancing the Appointed Representative Regime
On 3 August 2022, the Financial Conduct Authority (“FCA”) published its long-anticipated policy statement: PS22/11 - Improvements to the Appointed…
August 17, 2022
Regulatory Update: UK Edition – July 2022
This edition includes - FCA publishes rules and guidance on new Consumer Duty, PRA Discussion Paper DP3/22 on critical third…
August 17, 2022
Regulatory Update: UK Edition – June 2022
This edition includes - FCA Feedback Statement FS22/4 on regulatory regime for ESG rating providers, PRA publishes annual report, EBA…
July 14, 2022
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…
June 22, 2022
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,…
June 2, 2022
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…
February 11, 2022
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…
January 13, 2022
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…
November 30, 2021
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…
November 26, 2021
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…
November 18, 2021
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…
November 18, 2021
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…
November 18, 2021
Regulatory Update: UK Edition - January 2021
This UK regulatory update includes - FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA…
November 18, 2021
Regulatory Update: UK Edition - February 2021
This UK Regulatory Update includes: FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA Consults…
November 18, 2021
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…
November 18, 2021
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…
November 18, 2021
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…
November 18, 2021
Regulatory Update: UK Edition - June 2021
This edition includes – FCA Updates & Developments including FCA Updates Authorisation Webpage for Change of Legal Status, PRA Statement…
November 18, 2021