Mon, Mar 2, 2015

Regulatory Focus Newsletter-March 2015

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:

  • DP 15/3 FCA’s approach to implementing MiFID II conduct of business and organizational requirements

  • FCA’s Business Plan for 2015/16

  • CP 15/8 Quarterly consultation paper No.8

  • FCA fines and prohibits Stephen Bell, former director of network Financial Group, from performing compliance oversight function

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