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Here to help with Regulation and Compliance
Regulatory News & Compliance Updates
News & Views on Compliance & Regulation:
Read our latest articles, news and views affecting compliance and regulation in the UK Financial Services Industry or search for a particular topic onsite using our search facility below.
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Index of Our News & Views Articles:
MARCH 2020 CONTENT:
- FCA Dear CEO Letter: Asset Managers & the end of LIBOR
- FCA: Suspicious Transaction & Order Reports
- FCA Discussion: Driving Purposeful Cultures
- Business Continuity Planning: FCA Statement on Coronavirus Covid-19
- And now for 6MLD: The Sixth Money Laundering Directive
FEBRUARY 2020 CONTENT:
- 5MLD: New UK Money Laundering Regulations (MLR 2019)
- FCA Focus on Non-financial Misconduct
- Reminder: Annual Firm Details Declaration
- JMLSG Propose Guidance Changes
- 2020 The Year Ahead: FCA Areas of Concern:
- FCA Dear CEO Letter: Platform Portfolio Strategy
- Brexit Implementation Period: Information for Financial Services Firms
- FCA Supervision Strategy Letters: Investment Firms, Asset Managers & Alternative Investment Firms
JANUARY 2020 CONTENT:
- IFR/IFD: Investment Firms Categoriation Table - Class 2 & 3
- IFR/IFD: Investment Firms Categoriation Table - Class 1
- IFR/IFD: Implementation Finalised for Investment Firms
- Cyber Security: A New Operational Resilience Framework for the EU
- CP19/23: Building Operational Resilience - Policy Proposals from the FCA
- FCA & Bank of England: Review of Open-Ended Funds
- Individual fined £45K for Failing to Notify of Personal Trades
DECEMBER 2019 CONTENT:
- Solo-Regulated Firms - Certified Persons Register
- New Cryptoassets Regime Starts in 2020
- FMLC MAR Consultation: Inside information & Spot FX
- CP19/31: Extension of SMR to Benchmark Administrators
- MIFID Investment Firms: Changes to Non-SMF Directors
NOVEMBER 2019 CONTENT:
- Cyber Resilience for Financial Services Firms
- SMCR: Two Weeks to Go!
- FCA Fees & Levies Proposals for 2020/21
- MiFID II Inducements & Research vs US SEC
- Dear Chair Letter: Liquidity Management Good Practice for AFMS
- Jurisdictional CCyB Rates Information: BCBS Update
OCTOBER 2019 CONTENT:
- FCA Speech: Turning Technology Against Financial Crime
- Brexit: Latest Information from the FCA
- Climate Change & Green Finance: FCA Announce Future Work
- Crytoasset Businesses: FCA Registration Requirements & Fees
- SM&CR: SMF Holders & Duty of Responsibility
- SM&CR: Senior Managers Functions (SMFs) Considerations
- New Rules: Inherently Illiquid Assets & Open-ended Funds
- PRA PS20/19: SM&CR Resolution Assessments & Reporting Requirements
- SMCR for Solo-regulated Firms: Two months to go!
SEPTEMBER 2019 CONTENT:
- Financial Services SM&CR: The Directory Submission Deadlines
- FCA Review: Implementing MiFID II Unbundling Research Reforms & Best Execution
- New Capital Requirements Framework for Investment Firms
- IFR & IFD: New K-Factor Calculation Factors
- FCA Steps up Brexit Focus for Firms
- FCA Connect: Mandatory Reporting from January 2020
- BCBS update Countercyclical Capital Buffer Rates Information
- Culture Cover-up: Fate Determined for Former Barclays Wealth COO
- Remuneration & Incentivisation: Transforming Culture in Financial Services
AUGUST 2019 CONTENT:
- SM&CR: Information for Solo-regulated Firms - Reviewing & Changing your SM&CR Categorisation
- Brexit Action for Regulated Firms: Is your Firm Prepared?
- PS19/22: Guidance on Cryptoassets
JULY 2019 CONTENT:
- PS19/20 Final Rules: Optimising the SM&CR
- Dear CEO Letter: Wealth Management & Stockbroking Firms
- EBA Updates CET 1 Instrument List
- GABRIEL to be Replaced by New Regulatory Reporting Platform
- Update: Extension of PRIIPs KID Exemption for UCITS
- SM&CR Information for Solo-Regulated Firms Awaiting Final Rules
- CP19/22: Banning Derivatives & Exchange Traded Notes referencing Cryptoassets for Retail
- FCA & Unregulated Market Codes of Conduct: FX Global Code & UKMM
- FCA Final Rules for CFDs & CFD-Like Options
JUNE 2019 CONTENT:
- 5MLD: High Risk Third Countries
- CP19/20: Assessing Adequate Financial Resources
- Dear CEO: Principal Firms in the Investment Management Sector
- SM&CR: Six months to go!
- PS19/14: Final Rules for P2P and Crowdfunding Platforms Published
- Unauthorised Forex Firm’s Bogus Investment & Other Scams
- COREP Reporting: Expected Changes under Taxonomy 2.9
- FSB: Regulatory Approach to Crypto-assets
MAY 2019 CONTENT:
- Customer Due Diligence: Electronic Identification under 5MLD
- HM Treasury Consults upon 5MLD Measures
- Government Proposed Approach for Cryptoassets Regulation
- FCA Regulatory Priorities for 2019/20
- Review of RDR & FAMR: FCA Calls for Input
APRIL 2019 CONTENT:
- FCA Publishes Feedback on Duty of Care
- FCA Announce delay to final rules for Retail CFDs & CFD-like Options
- SCB fined £102.2 Million for AML Failings
- FCA: The new regulator for Claims Management Companies
- The Directory - a new register for Financial Services
- Another MIFID Transaction Reporting Failing - and even bigger fine!
- Fund Managers to appoint NEDs before September
MARCH 2019 CONTENT:
- Transactional Reporting Failings: FCA fines UBS £27.6million
- SMCR Responsibilities: A Comprehensive View & Holisitic Approach
- Starting SM&CR Preparations: What you need to know
- Preparing for SM&CR: Starting Tips
- Finalised Guidance: SM&CR Responsibilities - Statements & Mapping
- PRIIPs Feedback Published & Concerns Raised
- SM&CR for Solo-Regulated Firms: Types of Firm
FEBRUARY 2019 CONTENT:
- First Firms Fined under Competition Law
- FCA Statement on ESMA’s CFD & Binary Option product intervention measures ahead of Brexit
- Advice for Solo-regulated Firms Adopting SM&CR
- Spreadbetting Fraudster sentenced to 2 years in prison
- FCA Consults on Guidance for Cryptoasset Actvities
- Preparing for Brexit: Action for FCA Regulated Firms
JANUARY 2019 CONTENT:
- CP19/4: Optimising the Senior Managers & Certification Regime
- Tough Rules for CFD & Spread Betters Continue
- Dear CEO Letter: Financial Promotions & Unregulated Business
- Reminder for CFD & Spread Bet Firms on Financial Promotions
- ESMA Renews Restrictions of CFDs & Binary Options
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If you’d like to discuss how we can help your business move forward compliantly, please feel free to contact us for a no obligation discussion about your compliance and regulatory requirements.
If you’d like to discuss how we can help your business move forward compliantly, please feel free to contact us.
If you’d like to discuss how we can help your business move forward compliantly, please feel free to contact us.
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