Mon, Feb 2, 2015

Regulatory Focus Newsletter-February 2015

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Regulatory Focus provides a synopsis of the Financial Conduct Authority’s (FCA) latest news and publications on a monthly basis.

Regulatory highlights this month include:

  • Feedback statement on DP14/3 - discussion on the use of the dealing commission regime
  • TR15/1 Asset Management firms and the risk of Market Abuse
  • CP15/5: Approach to non-executive directors in banking and Solvency II firms and application of the presumption of responsibility to senior managers in banking firms

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