Category Archive

Below you'll find a list of all posts that have been categorized as “regulatory”

UK regulators seek to further strengthen culture and accountability standards

A package of measures to strengthen regulatory culture and personal accountability in the UK

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Latest UK proposals for future MiFID II regime covers conduct matters

UK’s latest revised MiFID II consultation address conduct-of-business proposals

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UK regulators outline responsibilities for market transparency, resilience and efficiency

UK regulators highlight responsibilities and concerns around the transparency, integrity, resilience and efficiencies of key market events and sectors

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European supervisory agencies reject proposed technical standards changes

ESA’s decide against certain technical updates as it debates and pursues various strands of reform

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Irish regulator acts to address emerging product risks and failures in standards

Irish regulator warns firms on product risks and takes action on failure to meet competency and consumer protection standards

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New UK financial-crime report coming into force from end 2016

New UK annual financial-crime data expected to drive UK regulatory supervision strategy

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Engendering good conduct and culture within regulated organisations

UK FCA expounds on the importance of good conduct and a healthy corporate culture

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Latest changes and developments from the UK’s National Crime Agency

UK’s National Crime Agency issues 2015/16 results and makes operational changes to the ‘consent regime’

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Staying ahead in establishing and maintaining adequate data protections

UK ICO reminds firms on keeping adequate data protections when handling international transfers and access requests

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Keeping-up with regulatory expectations concerning appointed representatives

Keeping the activities of appointed representatives within regulatory expectations

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