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News And Insights

  • Regulatory Update

Introducers: FCA Concerns

FCA raises concerns over inappropriate influence of introducers over authorised firms’ investment choices
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  • Regulatory Update

Activities and Exam Qualifications

FCA publishes Consultation Paper CP16/24 reviewing qualifications
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  • Regulatory Update

Advising: FCA Register Part 4A

Firms may unintentionally and unnecessarily hold permission ‘advising on P2P agreements’
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  • Regulatory Update

4MLD: HM Treasury Consultation

Treasury publishes Consultation Paper on transposition of 4MLD
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  • Regulatory Update

4MLD: High-risk Countries

Of relevance to: All firms Around one week after HM Treasury published its Consultation Paper

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  • Regulatory Update

PRIIPs Delay

European Parliament rejects proposed PRIIPs Regulatory Technical Standards
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