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Searching Content indexed under Finance and Banking by Rosemarie Paul ordered by Published Date Descending.
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New FCA Regime Will Emphasize Individual Accountability
From Dec. 9, 2019, all Financial Conduct Authority solo-regulated firms, as well as European Economic Area and third-country branches will be subject to the Senior Managers and
United States
5 Jul 2019
2
UK Financial Services Regulators Lay Down A Marker On Money Laundering In The Capital Markets
In a report published on 10 June, the Financial Conduct Authority has set out its assessment of the money laundering risks and vulnerabilities in the capital markets.
UK
1 Jul 2019
3
IOSCO Report Underlines Cyber-Risk Standards For Financial Services Firms
Reflecting its ever-increasing importance on regulators' lists of priorities, the Board of International Organization of Securities Commissions ("IOSCO")...
United States
27 Jun 2019
4
Cyber-Attacks (Asset-Freezing) Regulations 2019
On 11 June 2019, the Cyber-Attacks (Asset-Freezing) Regulations 2019 (SI 2019/956) (the "U.K. Regulations")
UK
12 Jun 2019
5
FCA 2019/20 Business Plan Released Highlighting Conduct Supervision And Financial Crime As Key Focus
The Financial Conduct Authority ("FCA") has released its business plan for 2019/20, in which it sets out its areas of focus for the coming year, and outlines how it proposes to respond to issues it has identified.
United States
14 May 2019
6
Investment Firms Post-Brexit: EU Provisionally Agrees To Regulatory Supervision Framework
EU policy makers recently reached a provisional agreement on a package of measures, which may tighten UK financial services firms' access to EU clients when Britain leaves the EU...
European Union
25 Mar 2019
7
U.K. Financial Regulator Flags Deficiencies In Firms' Cyber Practices
A review of the U.K. asset management and wholesale banking sectors by the Financial Conduct Authority ("FCA")
UK
18 Dec 2018
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