News The latest regulatory update – June 2021 06, July READ MORE The FCA’s second consultation paper on the new IFPR (MIFIDPRU) 11, June READ MORE The latest regulatory update – May 2021 07, June READ MORE The new Consumer Duty to be required by financial services firms 19, May READ MORE The latest regulatory update – April 2021 06, May READ MORE The FCA issues second consultation paper on the new IFPR 29, April READ MORE The latest regulatory update – March 2021 06, April READ MORE Supervisory flexibility: RTS 27 reports & depreciation notification 23, March READ MORE The latest regulatory update – February 2021 04, March READ MORE Covid-19 Vaccination Data and GDPR Implications 01, March READ MORE The latest regulatory update – January 2021 08, February READ MORE Environmental Social and Governance (ESG) 27, January READ MORE The challenges for compliance in 2021 21, January READ MORE The latest regulatory update – December 2020 07, January READ MORE Data Protection & the UK and EU Trade and Cooperation Agreement 04, January READ MORE The latest regulatory update – November 2020 03, December READ MORE General Data Protection Regulation (GDPR) update 30, November READ MORE The FCA Directory – deadline 31st March 16, November READ MORE The latest regulatory update – October 2020 02, November READ MORE Market Abuse in a time of Coronavirus 14, October READ MORE The latest regulatory update – September 2020 09, October READ MORE The new prudential regime for MiFID investment firms 14, September READ MORE The latest regulatory update – August 2020 07, September READ MORE Is your Management Information good enough? 28, August READ MORE REP008: Conduct Rules reporting for solo-regulated firms 20, August READ MORE The latest regulatory update – July 2020 05, August READ MORE CEO Letter: Inappropriate use of title transfer collateral arrangements 29, July READ MORE Conduct Risk Framework – what the FCA expects 23, July READ MORE The Latest Regulatory Update – June 2020 06, July READ MORE FCA Assessing adequate financial resources 29, June READ MORE Regulatory references & the Senior Managers & Certification Regime 18, June READ MORE ESMA guidance on the compliance function under MiFiD ii 11, June READ MORE Expectations of Market Conduct during the Coronavirus Crisis 04, June READ MORE Building a workable Risk Register – Technology (Part 3) 29, May READ MORE This month’s Latest regulatory developments 26, May READ MORE What Good Governance looks like in regulated firms 18, May READ MORE Building a workable risk register – Control Framework (Part 2) 12, May READ MORE Firms handling of complaints during the coronavirus 05, May READ MORE Covid-19: new FCA client assets webpage 01, May READ MORE Building a workable Risk Register (Part 1) 29, April READ MORE Latest on Operational Risk and Resilience 19, April READ MORE FCA expectations for solo-regulated firms applying SMCR during Covid-19 08, April READ MORE MLD5 and the key changes that will impact FS firms 10, December READ MORE Impact tolerances for important business services 06, December READ MORE Suspicious Activity Reports Annual Report 2019 08, November READ MORE FCA speech: Regulation in a changing world 22, October READ MORE The fight against skimmers and scammers: the FCA on Fraud 06, September READ MORE Andrew Tinney’s case: a key message in relation to conduct 19, August READ MORE FCA Responds to ESMA Opinion on FCA’s Final Rules for Retail CFDs 04, July READ MORE Permanent Restrictions on the Sale of CFDs Retail Consumers 02, July READ MORE Money Laundering Risks in Capital Markets 12, June READ MORE General Data Policy Regulation one year on 31, May READ MORE The FCA’s 5 Conduct Questions Programme 29, May READ MORE Financial Conduct Authority on the Duty of Care 24, April READ MORE FCA Report on Payment for Order Flow 24, April READ MORE Updates from the Financial Conduct Authority 23, April READ MORE The Future of Financial Conduct Regulation 23, April READ MORE EU Parliament Approves New EU-Wide Rules to Protect Whistleblowers 18, April READ MORE FCA “Dear CEO” Letter for Wholesale Firms 18, April READ MORE Financial Conduct Authority Business plan 2019-2020 17, April READ MORE FCA’s Second Largest Fine for Anti Money Laundering Failings 10, April READ MORE FCA Introduces Permanent Ban on Binary Options to Retail Consumers 29, March READ MORE Goldman Sachs Fined £34.3 million for Transaction Reporting Failures 29, March READ MORE OECD Report on Implementation of the Anti-Bribery Convention 22, March READ MORE Financial Conduct Authority Updates on SM&CR 11, March READ MORE The FCA Increases the Award Limit for the Financial Ombudsman Service 08, March READ MORE Agree to disagree: FCA versus Lewis Alexander Limited 21, February READ MORE Communication Rules for Payment Services and E-Money Sectors 05, February READ MORE FCA Ordered to Pay Compensation to Banned Chief Executive 31, January READ MORE National Crime Agency publish SARs Annual Report 28, January READ MORE FCA Consultation on Cryptoassets and the Regulatory Perimeter 24, January READ MORE The FCA Issues £76m in Fines and a Ban from Regulated Financial Services 17, January READ MORE Diversity in Financial Services: FCA publishes speech 20, December READ MORE Financial Conduct Authority publishes Market Watch 58 18, December READ MORE Finalised Changes to the FCA Financial Crime Guide 13, December READ MORE FATF Reviews the UK’s Anti-Money Laundering Measures 10, December READ MORE FCA Proposes Permanent Measures for Retail CFDs and Binary Options 07, December READ MORE Former CEO of Sonali Bank (UK) Ltd Fined for AML Failings 04, December READ MORE Objectivus are delighted to support the Plogolution! 11, November READ MORE ESMA’s Notice on the Product Intervention Renewal Decision 31, October READ MORE ESMA Report on Initial Coin Offerings and Crypto-Assets 20, October READ MORE FCA’s Analysis of Firms’ Data on Financial Crime 17, October READ MORE FCA confirms greater access for SMEs to Financial Ombudsman Service 17, October READ MORE SMCR – FCA Proposed Guidance on Statements of Responsibilities 11, October READ MORE FCA Published 2 consultation papers with proposed changes 10, October READ MORE FCA Review on ML & Terrorist Financing in the E-Money Sector 03, October READ MORE FCA Fines Tesco Bank £16.4m for Failures in 2016 Cyber Attack 02, October READ MORE ESMA to Extends Restrictions on Retail CFDs 28, September READ MORE Treasury Committee Report Supports Regulation of Crypto-Assets 20, September READ MORE FCA Statement Following ESMA’s Action on CFDs 01, August READ MORE FCA Is Seeking Input on PRIIPs Legislation 26, July READ MORE FCA Reveals Urban-Rural Differences in How Consumers Experience FS 20, June READ MORE “Dear CEO” Letter to Banks on Crypto-Asset Clients and Financial Crime 11, June READ MORE FCA Fines and Imposes a Restriction on Canara Bank for AML Failings 07, June READ MORE ICO Consults on Increased Powers under Data Protection Reform 07, June READ MORE ESMA Publishes Q&As: Temporary Product Intervention Measures 01, June READ MORE ESMA Adopts Final Product Intervention Measures on CFDs 01, June READ MORE Data Protection Changes: email fatigue 24, May READ MORE European Parliament Adopts Fifth Anti-Money Laundering Directive 20, April READ MORE FCA Statement on Cryptocurrency Derivatives Firms 06, April READ MORE FCA Consultation on the Financial Crime Guide for Firms 03, April READ MORE ESMA Agrees to Prohibit Binary Options and Restrict CFDs 27, March READ MORE Women in Finance: Still a Long Way to Go 23, March READ MORE FCA Paper on Transforming Culture in Financial Services 15, March READ MORE Home Office Guidance on Sharing Information in the Regulated Sector 05, March READ MORE Committee of MPs to Consider Digital Currencies and Blockchain 02, March READ MORE FCA Dear CEO Letter on Quality of Prudential Regulatory Returns 20, February READ MORE Joint Update on GDPR from the FCA and the ICO 13, February READ MORE The General Data Protection Regulation: What you must do now 31, January READ MORE FCA Statement on Communications in Relation to PRIIPs 29, January READ MORE FCA Fines Broker for Inadequate Post-Trade Systems and Controls 25, January READ MORE ESMA Consults on Potential CFD and Binary Options Measures 18, January READ MORE FCA Dear CEO Letter to providers and distributors of CFD products 17, January READ MORE Consultation Papers: Transitioning Firms & Individuals to SMCR 18, December READ MORE Cryptocurrency Operators and Operational Risk 20, November READ MORE Equifax FCA Investigation over Data Breach Acts as a Warning 14, November READ MORE Private Sector Information Sharing: the FATF Guidance 09, November READ MORE ICO on Website Privacy Notices Being Vague and Inadequate 06, November READ MORE What lessons can be learned from the Merrill Lynch failure? 31, October READ MORE The New Sanctions and Anti-Money Laundering Bill 25, October READ MORE FCA Fines Merrill Lynch £34.5m for Failing to Report Transactions 24, October READ MORE MiFID II/MiFIR Rules Require Passport Data 23, October READ MORE Sensible and Proportionate Approaches to SMCR and MiFID II 10, October READ MORE New rules for UK banks to cope with fight against cybercrime 29, September READ MORE Implementation of the Revised Payment Services Directive (PSD2) 25, September READ MORE HMRC Guidance on Failing to Prevent the Facilitation of Tax Evasion 08, September READ MORE New technologies and anti-money laundering 08, August READ MORE Extending the SMCR to FCA only regulated firms 04, August READ MORE Just how important is AML/CTF Compliance? 25, July READ MORE FCA releases report concerning plans to tackle money laundering 24, July READ MORE An update on Brexit and the implications for Financial Services 14, July READ MORE FCA Proposes Rule Change in Pursuit of Aramco’s $2 Trillion Float 14, July READ MORE FCA has Finalised Guidance on the treatment of PEPs 07, July READ MORE A common approach to the implementation of KID Regulation 07, July READ MORE FCA publishes MiFID II Policy Statement Summarising Feedback Received 05, July READ MORE Is this a temporary stay of execution for CFD firms? 30, June READ MORE The Queen’s Speech will interest those in Financial Services 28, June READ MORE The Money Laundering Regulations 2017: a risk-based approach 27, June READ MORE Consultation opened on 4MLD & Fund Transfer Regulation Implementation 13, June READ MORE A look at the six leading principles of the FX Global Code 30, May READ MORE FCA publishes first set of data under new complaints rules 02, May READ MORE The FCA and the next phase of Project Innovate 17, April READ MORE ESMA Question and Answer Updates on How to Apply AIFMD and UCITS 10, April READ MORE ESMA issues a consultation paper on a portion of MAR 04, April READ MORE ESMA publishes updated Q&A on CFDS and other speculative products 03, April READ MORE The UK Triggers Article 50: formal notice of intention to leave EU 29, March READ MORE Complete FX global code of conduct to be released on 25 May 2017 27, March READ MORE Proposed revisions to JMLSG Part 1: March 2017 23, March READ MORE The FCA’s view on the use of dealing commission 05, March READ MORE FCA addresses expectations of providers and brokers on CFD 26, January READ MORE Brexit Impact on UK Financial Services Industry 01, July READ MORE Public Hearing on Virtual Currencies: need for regulation 27, January READ MORE Increased regulatory expectations represent AML compliance challenge 24, December READ MORE Market abuse – new trading technologies & market manipulation 20, November READ MORE Delays to MIFID II implementation: IT departments don’t have time 11, November READ MORE MiFID II – Implications for Commodity Firms 23, October READ MORE MIFID II – Timeline. What are the most important issues? 22, October READ MORE Proposed Changes to the Senior Managers and Certification Regime 21, October READ MORE National Risk Assessment of Money Laundering and Terrorist Financing 16, October READ MORE Best Execution – The 10 Point Plan (MiFID II – Jan 2017) 29, September READ MORE Disruption in the Finance Industry – rapid technological innovation 18, September READ MORE Disruptive Innovation in Financial Markets 18, September READ MORE
