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FCA to Clarify Scope of the Client Dealing Function

United Kingdom - November 30 2018 The FCA acknowledges that the scope of the Client Dealing Function needs to be clarified, and will consult on changes to its rules....

Stuart Davis, Charlotte Collins, Nicola Higgs, Ella McGinn, Jonathan Ritson-Candler, David Berman, Brett Carr, Gabriel Lakeman, Sam Maxson.


FCA CP1836 The Second Brexit Onshoring Consultation

United Kingdom, European Union - November 29 2018 Under the Temporary Permissions Regime (TPR), the FCA intends to apply the Senior Managers and Certification Regime (SMCR) and the Approved Persons...

Rob Moulton, Stuart Davis, Charlotte Collins, Nicola Higgs, Jonathan Ritson-Candler, David Berman, Brett Carr, Gabriel Lakeman, Sam Maxson.


Brexit and Financial Services Onshoring MiFID II

United Kingdom, European Union - November 5 2018 The onshoring process is designed to preserve the status quo as much as possible, and only permits changes to be made to...

Rob Moulton, Stuart Davis, Charlotte Collins, Anne Mainwaring, Nicola Higgs, Ella McGinn, Jonathan Ritson-Candler, David Berman, Brett Carr, Gabriel Lakeman, Sam Maxson.


UK Cryptoassets Taskforce Publishes its Final Report

United Kingdom, Global - October 31 2018 The Report provides an overview of crypto-assets and their underlying technology, assesses the associated risks and potential benefits, and sets out a...

Rob Moulton, Stuart Davis, Charlotte Collins, Anne Mainwaring, Nicola Higgs, Ella McGinn, Jonathan Ritson-Candler, David Berman, Brett Carr, Gabriel Lakeman, Sam Maxson.


Findings from FCA Thematic Review on AML and CTF Systems and Controls Provide Timely Reminder for Firms

United Kingdom - October 5 2018 The FCA has published TR183, setting out the findings from its thematic review of the anti-money laundering (AML) and counter-terrorist financing...

Charlotte Collins, Jonathan Ritson-Candler.