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

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

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

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

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

This edition includes - FCA Reminds Firms to be Ready for End of Transition Period, PRA Evaluation of the Senior…

This UK regulatory update includes - FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA…

This UK Regulatory Update includes: FCA Webpage on Regulatory Changes After End of Transition Period, SM&CR Forms Update, ESMA Consults…

This edition includes - FCA Launches Campaign to Encourage Individuals to Report Wrongdoing, PRA Publishes Statement on Expectations to Outsourcing…

This edition includes - FCA Consults on New UK Prudential Regime for MiFID Investment Firms, PRA Publishes Consultation Paper to…

This edition includes - FCA Updates Statement on the Operation of MiFID Markets Regime, EBA Consultation on Proposal for a…

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

This edition includes – FCA agreements with overseas regulators, PRA proposal to make changes to policy on designated investment firms,…

This edition includes - FCA consultation paper on new UK Prudential Regime for MiFID investment firms, ESMA Q&As, SFO charges…

This edition includes - FCA publishes draft guidance to allow faster removal of regulatory permissions, PRA consultation paper on identification…