May 11, 20201 minRegulatory Initiatives GridThe FCA has for the first time published a Regulatory Initiatives Grid which sets out the pipeline of regulatory change. The idea is to...
May 7, 20201 minRegulatory reporting during lockdownThe FCA has updated the list of regulatory reports which they are willing to delay. Usefully for many this incluses the CASS audit...
Nov 18, 20191 minThe scope of the client-dealing function under SM&CRthe scope of the client-dealing function goes wider than the CF30 function used to. If you looked at the initial definition, you would have