Results 1 to 5 of 27
Most popular |Most recent

FCA clarification of Senior Managers Regime for general counsel, and delay of regulated references

United Kingdom - February 16 2016 The Financial Conduct Authority's new senior Managers regime (SMR) will come into force on 7 March 2016. Under the SMR, individuals with overall…

Paul Callaghan.

MiFID II: knowledge & competence - Guidelines finalised

European Union, United Kingdom - January 22 2016 ESMA finalises its Guidelines on assessment of knowledge of competence.On 17 December 2015, the European Securities and Markets Authority (ESMA)…

Caroline Bystrom.

Innovation, Technology and Regulation

United Kingdom - January 15 2016 A green light has been given to shake the insurance sector. In the UK, the Financial Conduct Authority (FCA) has indicated that the regulatory…

Caroline Bystrom.

TR 15/13: TW's Top tips on managing flows of confidential and inside information

European Union, United Kingdom - December 18 2015 This summary of TR 15/13 picks out practical ways firms can respond to the FCA's Thematic Review of how firms manage flows of confidential and inside…

Caroline Bystrom, Shona Watson.

Accountability - regulatory references FCA CP 15/31

United Kingdom - November 6 2015 In FCA CP15/31 (or PRA CP36/15), the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) set out revised proposals for…

Caroline Bystrom, Paul Callaghan.