The FCA has announced a new series of monthly Q&A roundtable discussions for mortgage intermediaries and lenders across the UK, with the first stop in Glasgow on 29 October. There is no set agenda for these sessions; topics for discussion are determined by the attendees at each session.
These informal monthly ‘Ask the regulator’ events will conclude in March 2020.
Details of the dates and venues can be found in the registration page of the FCA website.
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A temporary solution if there are problems obtaining an LEI in time for any affected transactions from 3 January 2018.
There are some apparent anomalies in the rules. We have obtained ‘clarification’ from the FCA.
The FCA has clarified some aspects of how the recording rules will apply to firms that are not Article 3 Exempt.
How will changes to compliance governance affect your company?
MiFID II – Aggregated costs disclosure
Alistair MacDougall Compliance 2017, 2018, 2019, MiFID, PI
This new requirement is posing some questions about how it can best be implemented. We think that firms should wait until the mechanisms in the market place are a little clearer.