FCA Covid-19 Impact Survey

FCA Covid-19 Impact Survey

The FCA has asked us to inform all our client firms about the upcoming Covid-19 survey. See below. “Many of […]
Link
Compliance
A peek into the future

A peek into the future

Some questions to ponder ...
Link
Compliance
RegData migration reminder

RegData migration reminder

The migraton of firms from Gabriel to RegData continues.
Link
Compliance
FSCS protection post BREXIT transition

FSCS protection post BREXIT transition

Are you aware of the changes to consumer protection?
Link
Compliance
FCA – permanent ban on the promotion of speculative illiquid securities, including mini-bonds, to retail customers

FCA – permanent ban on the promotion of speculative illiquid securities, including mini-bonds, to retail customers

New rules for firms in relation to NMPIs, SISs or mini bonds.
Link
Compliance
Load More