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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 (continued):

JANUARY 2016 CONTENT:

• SMR: Individuals with Legal Functions
• Crowdfunding & Client Money Rules
• New FCA Chief Executive Announced as PRA’s Andrew Bailey
• Individual Accountablity Looms: Banks - Are You Ready?
• Tax Matters: DAC, CRS Compliance & Due Diligence for UK Financial Firms
• Final Guidelines for Remuneration Policies issued by EBA
• New Capital Buffer Rates for CRD IV Capital Calculation take effect

DECEMBER 2015 CONTENT:

• Client Money Health Check and Preparing for FCA Client Money Audit
• MiFID II: FCA Consults upon Secondary Trading of Financial Instruments
• Risk Management: Key Responsibilities
• Future of Anti-Money Laundering Regulations
• Personal Accountability under the Senior Managers Regime
• ESMA finalised guidance on complex products & appropriateness testing under MiFID II
• FCA Treatment of SMEs

NOVEMBER 2015 CONTENT:

• FCA: Developing Regulatory Technology (RegTech)
• Financial Crime: Barclays receive record £72 Million fine - Lessons in Client Due Diligence
• Disclosure & Transparency Rule Changes - Delay in Disclosure Rule Changes Proposed
• Treat customers fairly or be fined - Compliance Monitoring Essential
• Culture & Governance: More than Regulation
• FCA: IT Outsourcing Arrangements & Cloud Services
• Regulation: Crowdfunding and Peer-to-Peer (P2P) Lending
• FCA Consults upon MAR Implementation

OCTOBER 2015 CONTENT:

• UK Financial Regulation: the Changing Environment
• MiFID II: Update on ‘The Road to MiFID’
• Extension of the Senior Managers Regime to all Regulated Firms
• Whistleblowing in Financial Services

SEPTEMBER 2015 CONTENT:

• Regulatory Approval Forms: Changes to Current Forms and New FCA Forms Announced
• FCA to remove ONA read-only access: Be prepared
• Fair and Effective Markets Review (FEMR): Competition law & Wholesale Markets
• Fourth Money Laundering Directive
• Market Abuse Regulation (MAR)
• UCITS V Implementation Proposals

AUGUST 2015 CONTENT:

• New Online FCA Handbook Website Announced
• MiFID II: Taping Rules & Financial Advisers
• Cyber Crime & Financial Regulation
• Senior Managers Regime & Grandfathering to SMFs
• EMIR OTC Derivatives - the obligation to Clear and Margin

JULY 2015 CONTENT:

• Are you Ready for 6th August 2015? Transaction Reporting Changes TRUP v3.1
• Revised Complaints Handling Rules
• CRD IV: Liquidity Coverage Requirements (LCR) Update 2015
• Client Assets Resolution Pack - Are you ready?
• Final Rules on Accountability in Banking

JUNE 2015 CONTENT:

• New Remuneration Rules 2015: for dual-regulated firms

MAY 2015 CONTENT:

• Barclays Record Forex Fine
• Client Money Rules Update
• Anti-Bribery & Corruption

APRIL 2015 CONTENT:

• FCA Finalises Financial Crime Guidance following Industry Consultation
• FCA Amendments: Financial Crime Systems & Controls
• FCA Amendments: Money Laundering & Terrorist Financing
• Update on HM Treasury Money Laundering & Counter Terrorist Financing Controls: Jurisdictions
• Guidance for Multi-Lateral Trading Facilities (MTFs)
• FCA Business Plan & Outlook for 2015/16

MARCH 2015 CONTENT:

• Markets in Financial Instruments Directive II (MiFID II)
• Reduced FATCA Reporting Requirements: Nil Reporting for Financial Institutions
• Financial Promotions: Communicating via Social Media

2014 CONTENT:

• FCA Risk Outlook & Business Plan 2014/15
• FX Forwards, EMIR & MiFID
• Manipulation of the Foreign Exchange Market: Is Forex the new LIBOR?
• Common Reporting COREP

2013 CONTENT

• EMIR Related provisions - Review of the Client Assets Regime CP 13/5 - 48
• New Prudential Rules: Implementing CRD IV, the Capital Requirement Directive
• CRD IV: Changes to Diversified Stock Indices
• Review of the Client Assets Regime for Investment Business CP 13/5

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