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A common approach to the implementation of KID Regulation

  7.07.2017   RISK AND GOVERNANCE

  On 06 July 2017, the European Supervisory Authorities (ESAs) have published their first set of questions and answers (Q&As) related to the Key Information Document (KID) requirements for Packaged

FCA publishes MiFID II Policy Statement Summarising Feedback Received

The FCA has published Policy Statement 17/14: Markets in Financial Instruments Directive II Implementation – Policy Statement II (PS17/14). PS 17/14 follows the first policy statement (CP17/15) published in March this year

Is this a temporary stay of execution for CFD firms?

On the 29th of June, the FCA published a statement in relation to the consultation paper published in December 2016 titled “Enhancing conduct of business rules for firms providing contract

The Queen’s Speech will interest those in Financial Services

On the 21st of June, Her Majesty the Queen reopened Parliament and set-out the government’s legislative agenda in an uncustomary manner that dispensed with much of the typical pomp and

The Money Laundering Regulations 2017: a risk-based approach

The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017) have been laid before Parliament. These Regulations replace the Money Laundering Regulations 2007

Consultation opened on 4MLD & Fund Transfer Regulation Implementation

The Money Laundering Regulations 2017 (MLR2017) and the Fund Transfer Regulations are expected to come into force on the 26th of June 2017. On the 15th of March 2017, the

Delays to MIFID II implementation: IT departments don’t have time

  11.11.2015   RISK AND GOVERNANCE

Many thanks to my lawyer friend Sam Tyfield of Vedder Price who wrote a very interesting email this morning regarding his views on the issues concerning the MiFID II timeline.

MiFID II – Implications for Commodity Firms

  23.10.2015   RISK AND GOVERNANCE

ESMA and the national regulators have been heavily petitioned around the regulation of commodity derivatives. Initially it was tasked with developing details on the limits that would apply to the

Proposed Changes to the Senior Managers and Certification Regime

  21.10.2015   RISK AND GOVERNANCE

In a policy paper dated 15 October 2015 HM Treasury made a number of key proposals to change the Senior Managers and Certification Regime (SM&CR) introduced in the Financial Services