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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:
FEBRUARY 2017 CONTENT:
JANUARY 2017 CONTENT:
- Client Assets Regime Consultation CP17/2
- Sentenced: Individuals Guilty of Insider Dealing
- MiFID II Application & Notification Guide for Firms
- EC Adopts Stronger Rules to Fight Terrorist Financing
- Update on FCA’s Future Mission
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
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
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
Compound Growth can help your firm keep up to date with the latest Regulatory News and Compliance Updates:
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Use our search facility below to look for news and views affecting compliance and regulation in the UK Financial Services Industry or search our pages for a particular topic. If you can’t find what you’re looking for, get in touch and let us know.
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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Call by Telephone:
(020) 3813 2890
If you’d like to discuss how we can help your business move forward compliantly, please feel free to contact us.
Send Email
Call by Telephone:
(020) 3813 2890
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