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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.
Index of Our News & Views Articles:
JULY 2017 CONTENT:
JUNE 2017 CONTENT:
MAY 2017 CONTENT:
APRIL 2017 CONTENT:
- New Complaints Handling Data Published by FCA
- FCA Business Plan & Priorities 2017/18
- Former Spreadbet Employees Fined & Banned for Market Abuse
- Telephone Taping Under MiFID II
- Fifth MiFID II Consultation Issued
- FCA’s First Rules on MiFID II Implementation
MARCH 2017 CONTENT:
- Common Mis-
Reporting High Earners Report (REP005) - Money Laundering Regulations 2017 & PEPs Consultation
- PRIIPs KID: New RTS Published
- MiFID II Applications: Draft vs Final Forms
- Financial Crime Devlopment: What to expect in 2017?
- SMCR: One Year Later
FEBRUARY 2017 CONTENT:
- Financial Crime: Lessons from 2016 & Your Compliance Agenda for 2017
- Deutsche Bank Fined £163 Million for Serious AML Failings
- FCA opens MiFID II Authorisation Gateway
- FCA continues to focus on CFD Markets
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 Fighting
- Update on the FCA’s Future Mission 2017
DECEMBER 2016 CONTENT:
- New Adviser Levy Fees for MiFID II
- MiFID II: Rules on Tied Advisers
- MiFID II: FCA’s Fourth Consultation
- MiFID II: Pre-
trade Transparency Waivers - Compliance & Behaviour -
Psychological Insight - Advising on P2P Agreements
- FCA Crowdfunding Rules: Interim Feedback
- Insider Dealing: Two Plead Guilty
- EBA: CET1 Instruments List Updated
- FCA Quarterly Consultation Paper
- 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 Consults upon Delay in Disclosure of Information
- ISPVs Regulatory Authorisation & Supervision
- FCA Asset Management Market Study: Interim Report
- Government Priorities for Tackling Financial Crime
- Implementation of 5MLD: The Fifth Money Laundering Directive
- PRIIPs Delayed to 2018
- FCA Focus on Financial Crime
- Former Blackrock Manager Admits Insider Dealing
- FCA Ban Six in Landbanking Fraud Case
OCTOBER 2016 CONTENT:
- Summary of 4MLD: The Fourth Money Laundering Directive
- 4MLD Terminology: “Obliged Enitites” and other terms
- The FCA’s Mission: Consultation Begins
- Former MLRO fined £17.9K for serious AML system failings
- Aviva fined £8.2 Million for Client Money Breaches
- Remuneration in CRD IV Firms Consultation
- MiFID II Third Consultation addresses Investor Protection Measures
SEPTEMBER 2016 CONTENT:
- SM&CR: 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 taks note!
- New Rules on Whistleblowing take effect
- SMR: Breach of Conduct Reporting REP008
- MiFID 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 Firms Register
- FCA Consults on Disclosure Rules for PRIIPs Regulation
- Finalised FCA Outsourcing Guidelines for IT & Cloud Services
- Countercyclical Capital Buffer Rate Reduced
JUNE 2016 CONTENT:
- FCA Addresses Competition in Financial Markets
- EMIR Clearing Obligations 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
- Consumer Credit Firms: Applying for FCA Authorisation
- Authorisation Delays: FCA Applications Backlog
- Regulatory Update: Notifications Under MAR
- 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 FCA Guidance - FCA Notice on Compliance & Professional Advice: Firms take heed!
- New Complaints Reporting Rules start in June 2016
- MAR STOR Regime: Suspicious Transaction & Order Reports
- High Risk Jurisdictions -
HM Treasury Advice - FCA Comments upon SMR target approach
- Final Implementation of MAR
APRIL 2016 CONTENT:
- High Earners Reporting (REP005)
- MAR Information Disclosure: Commodity Derivatives & Spot FX Markets
- Prudential Regulation: 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 Business Plan 2016/17
MARCH 2016 CONTENT:
- FPC to Increase 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
- MiFID II Delayed until 2018
- Benchmark Regulation & Fines
FEBRUARY 2016 CONTENT:
- Appointed Representatives: Principal Firm Responsibilities
- Directly Authorised or Appointed Representative?
- MiFID II Roundtable Update
- CRD IV Requirements reviewed for Investment Firms
- 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 prouducts & 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
- What is a UCITS?
AUGUST 2015 CONTENT:
- New Online FCA Handbook Website Announced
- MiFID II: Taping Rules & Financial Advisers
- Cyber Crime & Financial Regulation
- Senior Managers Regime
- Grandfathering to SMR
- Significant Management Functions (SMF)
- 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
- Complaints Handling Revised Rules July 2015
- 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
- Preventing Financial Crime Links
- FCA Amendments: Financial Crime Systems & Controls
- Financial Crime Risk Assessments
- FCA Amendments: Money Laundering & Terrorist Financing
- Enhanced Due Diligence
- 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)
- MiFID II Timetable
- 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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