Regulated firms have just over six months to become compliant and update their systems and processes: compliance tips and best practice.
FCA Principle 11
Changes to guidance expand circumstances in which firms need to consider making a Principle 11 notification in relation to customer redress issues.
The SFO’s recent guidance is just one piece of a larger puzzle.
Second report from the Simmons & Simmons webinar where Therese Chambers answered questions on the practical implications of the proposal.
The FCA has highlighted continuing concern about ‘flying’ and ‘printing’ and the failure of firm management to deal effectively with both practices.
The judgment is critical of the FCA’s conduct of the investigation and enforcement processes.
Accurate lists that include personal information are required in the UK in order to fully comply with MAR.