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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:
DECEMBER 2016 CONTENT:
- New Adviser Levy Fees for MiFID II
- MiFID II: Tied Agent Rules
- MiFID II: FCA’s Fourth Consultation
- MiFID II: Pre-trade transparency waivers
- Compliance & Behaviour - Psychological Input
- Advising on P2P Agreements
- FCA Crowdfunding Rules: Interim Feedback
- Insider Dealing: Two plead guilty
- EBA: CET1 Instruments List Updated
- FCA Quarterly Consultation Paper December 2016
- CFD Providers: Strict Rules on Horizon for Spread Bet Firms
- High Cost Credit: Call for Input
NOVEMBER 2016 CONTENT:
- EMIR Review:REFIT Expected in 2017
- FCA Consult upon Delay in Disclosure of Inside Information
- ISPVs Regulatory Authorisation & Supervision
- Asset Management Market Study: Interim Report
- Government Priorities for Tackling Financial Crime
- Implementation of 5MLD: the Fifth Money Laundering Directive
- PRIIPs Regulation delayed to 2018
- FCA focus on Financial Crime
- Former Blackrock Manager Admits Two Counts of Insider Dealing
- FCA Ban six in Landbanking Fraud
OCTOBER 2016 CONTENT:
- Summary of 4MLD: The Fourth Money Laundering Directive
- 4MLD Terminology: “Obliged Entities” and other terms
- The FCA’s Mission: Consultation Begins
- Former MLRO fined £17.9K for serious AML system failings
- Aviva receive £8.2Million Fine for Client Money Breaches
- Remuneration in CRD IV Firms Consultation CP16/28
- MiFID II Consultation addresses Investor Protection
SEPTEMBER 2016 CONTENT:
- SM&CR: The Next Steps to Improving Culture
- FCA issues ICAAP pointers for IFPRU Firms
- Regulator puts Culture in the Spotlight
- FCA: An Effective Approach to Financial Crime Prevention
- Appointed Representative Pitfalls: Principal Firms Take Note!
- New Rules on Whistleblowing take effect
- SMR: Breach of Conduct Reporting REP008
- MiFID II Implementation: Latest Roundtable
- Culture & Regulatory Compliance: FCA seeks to ban former Barclays COO
AUGUST 2016 CONTENT:
- Client Money Rules for Insurance Intermediaries
- FCA Consults upon Implementation Proposals for MiFID II (CP16/19)
- Final Rules on New Financial Crime Reporting Requirements
JULY 2016 CONTENT:
- ESMA adds UK Firms to MiFID Investment Firm Register
- FCA Consults on Disclosure Rules for PRIIPs Regulation
- Finalised FCA Outsourcing Guidance for IT & Cloud Services
- UK Countercyclical Capital Buffer Rate Reduced
JUNE 2016 CONTENT:
- FCA Addresses Competition in Financial Markets
- EMIR Clearing Obligation has started for Category 1 Firms
- Financial Services Regulation post-Brexit
- Suitability: Wealth Managers under Scrutiny
- Unauthorised Wealth Managers Banned for lack of integrity
- Trade Reporting: Revised EMIR RTS
- Reminder: Changes to Complaints Handling & Reporting
- Consumer Credit Firms: Applying for FCA Authorisation
- Authorisation Delays: FCA Applications Backlog
- Notifications under MAR: Delayed Disclosures & PDMRs
- Reminder: PIFs Capital Adequacy Requirement Increase
- MAR: Preliminary Results & Closed Periods
MAY 2016 CONTENT:
- DAC & CRS: Don’t lose sight - one year to go!
- UCITS V Level 2 Regulation & SFTR
- Orderly Wind Down: Proposed Guidance from the Regulator
- Consultancy & Professional Advice: Firms take heed!
- New Complaints Reporting Rules start in June 2016
- MAR STOR Regime: Suspicious Transaction & Order Reports
- High Risk Jurisdictions- Advice from HM Treasury
- FCA Comments on SMR target approach
- Final Implementation of MAR
APRIL 2016 CONTENT:
- High Earners Reporting (REP005)
- MAR Information Disclosure: Commodity Derivatives & Spot FX Markets
- Prudential Requirements: ICAAP & SREP
- Get ready for the New Market Abuse Regime
- FCA Key Findings on Conflicts of Interest & Inducements
- Remuneration under UCITS V
- Update to Remuneration Requirements for CRD Investment Firms
- Remuneration in Financial Services
- Preparation for PRIIPs KID Regulation
- Acting CEO to leave FCA in July
- Recovery & Resolution Directive: RRD Reporting
- Communicating with Investors: Dos & Don’ts for Asset Managers
- FCA’s Capital Planning Buffer & the UK Countercyclical Buffer Rate
- FCA’s Business Plan for 2016-2017
MARCH 2016 CONTENT:
- FPC announces Increase to UK Countercyclical Capital Buffer Rate
- Markets Liquidity & Liquidity Management
- FAMR: Proposed Changes to the Definition of Advice
- Client Money Rules Under Discussion (DP16/2)
- New Accountability Regime Begins: Senior Managers could now face jail
- FCA on Assessing Suitability: Research & Due Diligence of Products & Services
- Senior Managers Regime: Consequential Changes
- EC Confirms - MiFID II Delayed until 2018
- Benchmark Regulation & Fines
FEBRUARY 2016 CONTENT:
- Appointed Representative: Principal Firm Responsibilities
- Directly Authorised or Appointed Representative?
- MiFID Roundtable Update February 2016
- CRD IV Requirements - Review for Investment Firms
- MiFID II for Investment Managers
- New Market Abuse Regulation to Apply to AIM Firms
- UCITS V Implementation Finalised for AIFMs
- Spread betting providers under scrutiny
- FCA: CFD & Spread betting Firms Must Review Client Take-on
Compound Growth can help your firm keep up to date with the latest Regulatory News and Compliance Updates:
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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.
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