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News And Insights

  • Regulatory Update

SEC Annual Updating Reminder

Statement to be submitted within 90 days of end of financial year
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  • Regulatory Update

Use of Dealing Commission

FCA publishes Feedback Statement
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  • Regulatory Update

Market Abuse Asset Management Firms

FCA publishes findings on controlling market abuse risk in asset management firms
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  • Regulatory Update

EMIR Backloading

Two year time frame for EMIR Reporting
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  • Regulatory Update

Transaction Reporting

FCA updates the Transaction Reporting User Pack (TRUP)
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  • Regulatory Update

CASS changes

Second phase of changes to the CASS regime come into effect
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