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CCL Regulatory Update: UK Edition - November 2019

This edition includes: FCA Bans Promotion of Speculative Mini Bonds to Retail Customers, Basel Committee on Banking Supervision on the Interaction between Prudential and AML/CTF, UKFIU Publishes New Glossary Codes and Reporting Routes on SARs, FCA and PRA Publish Decision Notices to Former CEO for Reducing Tax Liability.

CCL Regulatory Update: UK Edition - October 2019

This edition includes - Treasury Committee on IT Failures in the Financial Services Sector, ESMA Launches a Call for Evidence on the Effects of Product Intervention on CFDs and Binary Options, HM Treasury Publishes Advisory Notice on AML High-Risk Countries, ESMA Updates MiFID II Q&As.

CCL Regulatory Update: UK Edition - September 2019

This edition includes - FCA on Guidance for the Fair Treatment of Vulnerable Customers, Strengthening Individual Accountability – SM&CR, FCA Review on MiFID II Implementation – Research Unbundling Reforms, FCA on the National Private Placement Regime.

CCL Regulatory Update: UK Edition - August 2019

This edition includes - FCA Agrees Plan for Phased Implementation of Strong Customer Authentication, EBA Advises the European Commission on the Implementation of the Basel III Framework, FATF Consolidated Assessment Ratings.

CCL Regulatory Update: UK Edition - July 2019

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.

CCL Regulatory Update: UK Edition - June 2019

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.

CCL Regulatory Update: UK Edition - May 2019

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.

CCL Regulatory Update: UK Edition - April 2019

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

CCL Regulatory Update: UK Edition - March 2019

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

CCL Regulatory Update: UK Edition - February 2019

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

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

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