Archive

01Aug2019

News : FCA Publishes newsletter, Market Watch 60

The FCA has published its newsletter, Market Watch 60, sharing their concerns and findings about control of access to inside information as well as highlighting their thematic review of money laundering risks in capital markets. A PDF of the Newsletter can be downloaded here : MW60
  • 1 Aug, 2019
  • Quinapalus
  • 0 Comments
  • Inside Information, Money Laundering,
Read more
26Jul2019

News : FCA Publishes Policy Statement, PS19/20

The FCA has published a new Policy Statement (PS19/20) summarising the feedback to the Consultation Paper CP19/4 concerning optimising the Senior Managers & Certification Regime (SM&CR). A PDF of the Statement can be downloaded here : PS19/20
  • 26 Jul, 2019
  • Quinapalus
  • 0 Comments
  • FCA, Senior Managers and Certification Regime, SM&CR,
Read more
31May2019

News : FCA Publishes Policy Statement, PS19/12

The FCA has published a new Policy Statement (PS19/12) setting out the ‘near-final’ rules on the changes planned to make to the FCA Handbook to align it with the EU Prospectus Regulation. This follows feedback sought within Consultation Paper CP19/6. A PDF of the Statement can be downloaded here : PS19/12
  • 31 May, 2019
  • Quinapalus
  • 0 Comments
  • FCA,
Read more
29Mar2019

News : FCA Publishes Policy Statement, PS19/9

The FCA has published a new Policy Statement (PS19/9) about the application of the Senior Managers & Certification Regime (SM&CR) to Claims Management Companies. A PDF of the Statement can be downloaded here : PS19/9
  • 29 Mar, 2019
  • Quinapalus
  • 0 Comments
  • FCA, Senior Managers and Certification Regime, SM&CR,
Read more
08Mar2019

News : FCA Publishes Final Guidance, FG19/2

The FCA has published Final Guidance (FG19/2) to provide practical assistance and information to solo-regulated firms when preparing their Statements of Responsibilities for the Senior Managers & Certification Regime (SM&CR). A PDF of the Guidance can be downloaded here : FG19/2
  • 8 Mar, 2019
  • Quinapalus
  • 0 Comments
  • FCA, Senior Managers and Certification Regime, SM&CR,
Read more
04Feb2019

News : FCA Publishes Policy Statement, PS19/4

The FCA has published a new Policy Statement (PS19/4) following it study into the asset management market concerning the quality, comparability and robustness of information available to investors. This follows feedback sought within Consultation Paper CP18/9. A PDF of the Statement can be downloaded here : PS19/4
  • 4 Feb, 2019
  • Quinapalus
  • 0 Comments
  • FCA,
Read more
28Jan2019

News : FCA Publishes Consultation Paper, CP19/6

The FCA has published its Consultation Paper (CP19/6) seeking feedback about the changes planned to make to the FCA Handbook to align it with the EU Prospectus Regulation. A PDF of the Paper can be downloaded here : CP16/6
  • 28 Jan, 2019
  • Quinapalus
  • 0 Comments
  • EU Prospectus Regulation, FCA,
Read more
23Jan2019

News : FCA publishes Consultation Paper, CP19/4

The FCA has published its Consultation Paper (CP19/4) seeking responses to their proposals concerning various areas within the Senior Managers & Certification Regime (SM&CR).   Responses are required by 23 April 2019.  A new Policy Statement is then expected in Q3, 2019. A PDF of the Paper can be downloaded here : CP19/4
  • 23 Jan, 2019
  • Quinapalus
  • 0 Comments
  • FCA, Senior Managers and Certification Regime, SM&CR,
Read more
Older Posts >>