Notification of Major Interest in Shares
New TR-1 Form comes into force
Investment Firms: New Prudential Regime Discussion Paper
EBA publishes Discussion Paper on design of new prudential regime
Regulatory References Update
Of Relevance to: All firms In October 2015 the FCA launched a joint Consultation Paper (CP15/31) with the PRA on “Strengthening accountability in banking and insurance: regulatory references” – see […]
Senior Managers Regime
The FCA publishes CP16/1 “Consequential changes to the Senior Managers Regime” amending the concept of the ‘presumption of responsibility’ within SMR
Thematic Review – Trading
FCA feedback on thematic review of commodities trading
Remuneration – Changes to Handbook
New rules for dual-regulated firms come in to force and revised proportionality guidance issued
Complaints
Further changes to DISP to come into effect
Complaints and Professional Contacts
Some professional clients will now be covered by the FOS regime
Feature – Compliance Management
As the increasing regulatory burden places more demands on a firm’s time, ComplyTracker is an invaluable compliance management tool.
Transaction Reporting Failure
12th firm fined by Regulator for transaction reporting failures