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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.


A New Sheriff in Town? UK MPs Call for Regulation of “Wild West” Crypto-assets

United Kingdom - September 20 2018 As part of its ongoing Digital Currencies inquiry, the House of Commons Treasury Committee (the Committee) has published a report on crypto-assets...

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


First Details of Brexit Temporary Permissions Regime Published Key Questions Answered

United Kingdom, European Union - July 27 2018 HM Treasury published draft legislation on 24 July 2018 to establish a temporary permissions regime. As previously announced, the regime is being...

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


Regulators Publish Final Rules on SMCR Extension

United Kingdom - July 4 2018 The FCA and the PRA have published their Policy Statements, setting out final rules on the SMCR regimes for insurers and FCA solo-regulated firms. Key...

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


The MiFID II Inducements Regime

United Kingdom - May 8 2018 MiFID II contains a number of inducements requirements, including rules relating to conflicts of interest, research, hospitality, corporate access...

Rob Moulton, Stuart Davis, Charlotte Collins, Nicola Higgs, Emily Torrens, Ella McGinn, Jonathan Ritson-Candler, David Berman, Brett Carr, Katy Sanders, Gabriel Lakeman.