FCA—training and competenceBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
Conflicts of interest in financial services firms—post MiFID II implementationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the...
Dealing and managing client ordersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Packaged Retail and Insurance-based Investment Products (PRIIPs)—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end...
MiFID II—investment researchBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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