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CCL Regulatory Update: UK Edition - January 2019

This edition includes - FCA Consults on Brexit, FCA ‘Dear CEO’ Letter, ESMA on Crypto-Assets and ICOs, EC Consults on Consumer Credit Directive, New Economic Crime Strategic Board, Financial Regulators’ Powers and MiFI

CCL Regulatory Update: UK Edition - December 2018

This edition includes - FCA Update on Brexit Preparation, The Securitisation Regulations 2018, Regulation on Cross-Border Distribution of Investment Funds – ECON Adopts Legislation, Amendments in Market Abuse (EU Exit) Regulations 2018, FCA Fines and Bans NED, FCA Decision to Fine CEO of Bank for Ineffective AML Systems

CCL Regulatory Update: UK Edition - November 2018

This edition includes - Brexit Scenarios – BoE Response to Treasury, ESMA on Managing Risks on a No-Deal Brexit in the Area of Central Clearing, The Sanctions and AML Act 2018 (SAMLA) Regulations 2018, PRA Fines Former Board Members of Japanese Investment Bank for Failure to Disclose Information

CCL Regulatory Update: UK Edition - October 2018

This edition includes - FCA and SFC Entered into a MoU on Mutual Recognition of Funds, PRA Update on Pillar II Reporting, ESMA Withdraws MiFID Automated Trading Guidelines, Advisory Notice on AML/CFT Controls in Higher Risk Jurisdictions, Tesco Personal Finance PLC Fined

CCL Regulatory Update: UK Edition - September 2018

This edition includes - Re-evaluation for Retail Investment Adviser, BCBS Amends to the Pillar 3 Disclosure Requirements, Directive on Countering Money Laundering by Criminal Law, FCA Bans Former Deutsche Bank Trader for Market Manipulation

CCL Regulatory Update UK Edition - August 2018

This edition includes - Consultation to Improve Conduct and Communications in Payment Services and E-Money Firms, ESMA to Renew Prohibition on Binary Options, FCA Commences Criminal Prosecution Against Mark Starling

CCL Regulatory Update: UK Edition - July 2018

This edition includes - FCA Statement on ESMA’s Action on CFD Products, ESMA Reminder for UK Based Entitles About Timely Submission of Authorisation, FATF Identifies Jurisdictions with Strategic AML/CTF Deficiencies, Former Senior Bankers Convicted of Fraud, Former Directors of a Consumer Credit Firm Banned for Misleading Customers.

CCL Regulatory Update: UK Edition - June 2018

This edition includes - EBA Adds PSD2 to Q&A Tool, European Commission Letter Clarifies Ancillary Activity Test, Financial Sanctions Notice for Iran, FCA Fines Bank for AML Failings

CCL Regulatory Update: UK Edition - May 2018

This edition includes - FCA Policy Statement Retires FG 12/15 and FG 14/1, PRA Update on MiFID II Passporting ITS, ESMA One-Stop Company Portal, Reforms on UK Businesses on Foreign Money Laundering, Sanctions and Anti-Money Laundering Bill/Act, FCA and PRA Jointly Fines Mr James Staley

CCL Regulatory Update: UK Edition - April 2018

This edition includes - Statement on the Requirements for Firms Offering Cryptocurrency, Consultation on Regulatory Fees and Levies, Whistleblower Protection Directive, CF30 Fined for Failure to Act with Honesty and Integrity

CCL Regulatory Update: UK Edition - March 2018

This edition includes - The Financial Services and Markets Act 2000 Amendment, Prohibition and Restriction on Binary Options and CFDs to Protect Retail Investors, AML and CTF Report 2015-2017, Wolfsberg Group Issues Banking Due Diligence Questionnaire and Guidance, Former Chair of Co-Operative Bank PLC Banned

CCL Regulatory Update: UK Edition - February 2018

This edition includes - FCA Proposes a Public Register, Future of the City, Governance and Risk Management of Algorithmic Trading, BSB’s Supporting Guidance to Fitness and Propriety, ESMA Launches Interactive Single Rulebook, Countries at Risk of Money Laundering