Mon, Mar 2, 2015

Regulatory Focus Newsletter-March 2015

Download the Report

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

Financial Services Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate, drive efficiencies and remediate operational, legal, compliance and regulatory risk.