Training and Competence for MiFID Firms
MiFID 2 firms subject to more stringent regime
Bank of New York Custody Enforcement Action
FCA takes enforcement action for Custody Failings
Transaction Reporting Failure
12th firm fined by Regulator for transaction reporting failures
FATCA Nil Returns
Clarification from HMRC
European Long Term Investment Funds
European Council formally adopts Regulation on ELTIFs
Fixed Overheads Calculation
Delegated Regulation comes into force
Financial Crime
FCA publishes feedback on Financial Crime Guide
Fourth Money Laundering Directive
European Council issues press release on the progress of the 4MLD
HM Treasury AML and CTF Report 2013 to 14
HM Treasury publishes Anti-Money Laundering and Counter Terrorist Finance Supervision report
FCA Restructure and Supervisory Model
FCA structure changes introduced to help embed new strategy