- in the category: Regulatory Update: UK
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.
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.
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.
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.
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.
This edition includes -FCA Extends Deadline to Publish Fund Reports and Accounts, First Firms to Move to New Data Collection Platform, RegData, PRA Letter on the Operational Readiness of the Temporary Permissions Regime, FCA Publicly Censures Former CEO for Market Misconduct.
This edition includes - FCA Updates on Firm Handling of Complaints During COVID-19, FCA Consults on Extension of Annual Financial Crime Reporting Obligation, Wolfsberg Group Publishes Statement on Developing an Effective AML/CTF Programme.
This edition includes - FCA Consults on Extending Deadline for Certification Regime and Conduct Rules, PRA Revised Version of Complaints Scheme, HM Treasury Proposes to Strengthen Rules on Financial Promotions, HM Treasury Consults on Economic Levy.
This edition includes - FCA Guidance on Assessing Adequate Financial Resources, PRA Statement on Electronic Signatures, ESMA Guidance on Compliance Function Under MiFID II, Official Journal Amended List of High-Risk Third Countries, FCA Fines Lloyds Bank Plc, Bank of Scotland Plc and The Mortgage Business Plc.
This edition includes - FCA Extends Period to Cover Absent Senior Managers, FCA Allows Individuals to Carry Over CPD from COVID-19, ESMA Issues Public Statement on COB Obligations from Increasing Retail Activity, FATF COVID-19 Related Money Laundering and Terrorist Financing Risks.
This edition includes - FCA on Received Queries on Clients Assets Compliance During COVID-19, FCA Messages Firms Can Provide for Customers on Investments Following Market Volatility, ESMA Publishes Advice to the European Commission on Inducements and Costs and Charges Disclosure, FATF Statement on Measures to Combat Illicit Financing.
This edition includes - FCA Information for Firms on Coronavirus Response, FCA’s Speech on Cryptoassets, Financial Regulation and Preventing Financial Crime for Digital Assets, COVID-19 Regulatory Reporting Amendments, ESMA Statement on COVID-19.