Legal Entity Identifiers
Legal Entity Identifiers will be required by some investors from 3 January 2018. Read this article for more information.
Alistair MacDougall
Compliance Officer Liabilities
Compliance Officers can be held personally liable for compliance failings. Read how to avoid this situation arising.
Money Laundering Regulations 2017
Updated Money Laundering regulations now in force
The Assessing Suitability Review
The long awaited results of the FCA's 2016 suitability review have finally been published.
FG17/4 – The fair treatment of mortgage customers in payment shortfall: impact of automatic capitalisations
Finalised guidance around automatic capitalisation of mortgage arrears.
FCA Publishes Its Response To Appropriate Qualifications Consultation
The FCA has made some minor changes to the TC Rulebook.
MiFID II applications and notifications
MiFID II comes into being on 3 January 2018 but firms need to take action now.
Implementing the FAMR – consultation paper
The FCA is pushing ahead with implementation of the FAMR. The latest consultation paper explains what is happening.
Important Changes to Capital Adequacy – A Reminder for Smaller Firms
Are you prepared for the changes to capital adequacy for personal investment firms that come into effect on 30th June?
ATEB Supervisor Training and Complementary Courses
ATEB Training Days announced