- in the category: Regulatory Update: UK
FCA Consultation Paper on New UK Prudential Regime for MiFID Investment Firms. EU Regulatory Updates: ESMA Q&As, SFO Charges Persons with Bribery and Money Laundering. Office of Financial Sanctions Implementation Issues Penalty on TransferGo Limited.
This edition includes – FCA Agreements with Overseas Regulators, PRA Proposal to Make Changes to Policy on Designated Investment Firms,ESMA Consults on Remuneration Requirements on MiFID II, Wolfsberg Group Statement on Demonstrating Effectiveness in AML, and FCA Fines LBGI £90 Million for Failures in Communications. BA Assesses Benefits, Challenges and Risks of RegTech. FATF Publishes Guidance on Proliferation Financing.
This edition includes – FCA Updates & Developments including FCA Updates Authorisation Webpage for Change of Legal Status, PRA Statement on Firm Authorisation under the TPR, EBA Assesses Benefits, Challenges and Risks of RegTech. Also included in this edition is Financial Crime and Enforcement Actions.
This edition includes - FCA Updates Statement on the Operation of MiFID Markets Regime, EBA Consultation on Proposal for a Central AML/CTF Database and FCA Fines Sapien Capital Limited for Risk of Facilitating Fraudulent Trading and Money Laundering.
This edition includes - FCA Consults on New UK Prudential Regime for MiFID Investment Firms, PRA Publishes Consultation Paper to Correct Remuneration Definition, ESMA Updates SFTR Q&As, JMLSG Publishes Proposed Revisions to Part II of its Guidance, FCA Stops FXVC Offering CFDs to UK Customers.
This edition includes - FCA Launches Campaign to Encourage Individuals to Report Wrongdoing, PRA Publishes Statement on Expectations to Outsourcing and Third-Party Risk Management, ESMA Updates Q&As, ESMA Updates Q&As, FCA Fines and Prohibits Trader for Market Abuse.
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.