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