- in the category: Regulatory Update: UK
This edition includes - FCA Fines Standard Life Assurance Limited for Non-advised Pension Sales Failures, FCA’s Dear CEO Letter to Wealth Management and Stockbroking Firms, FATF Terrorist Financing Risk Assessment Guidance, SM&CR - FCA Updates timeline of Form O.
This edition includes - ESMA Launches a Supervisory Action with NCAs on MiFID II Appropriateness, FCA Imposes Decision Notice on Cathay International Holdings Limited, FCA Update on EMIR Notification, Exemption and Reporting, HM Treasury Updates AML/CTF Notice on Controls in Higher Risk Jurisdictions.
This edition includes - FCA Launches Financial Services Regulatory Partners’ Phoenixing Group, Guidance on Brexit Counter-Terrorism International Sanctions, CMA Issues Investigations Order Against Santander UK PLC, Operational Resilience: A Progress Report from Nick Strange.
This edition includes: FCA Bans Binary Options, PRA Publishes Consultation Paper to Amend its Policy on Settlement of Enforcement Action, ESMA on CCPs Stress Test, ESMA Fines Fitch and Draft Brexit SIs for Approval
This edition includes - FCA and BoE on TPR, BoE ACS for 2019 Banking Stress, BCBS on Cryptoassets, Trace Report on Corruption, FCA Fines the Carphone Warehouse, Brexit Statutory Instruments
This edition includes - MoU Between FCA and ICO, PRA Fees and Levies: Changes to Periodic and Transaction Fees, EBA on Outsourcing Arrangements, FATF Meeting Outcome and HMT Advisory Notice on AML/CFT, OFSI’s First Fine for Sanction Breaches
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
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
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
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
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
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