The FCA"s Regulation Round-up is their monthly email to all regulated firms, updating them on the latest news that affects their ...
CN Editor
January 23, 2019
FCA BANS KEITH DICKINSON AND ANDREW ALLEN FOR BRITISH STEEL PENSION SCHEME ADVICE FAILINGS, WITH £155K TO BE PAID IN COMPENSATION
NEW SCREENING CHECKS REQUIRED TO APPROVE FINANCIAL ADVERTS
FCA SETS EXPECTATIONS AHEAD OF INCOMING CRYPTO MARKETING RULES
FCA LAUNCHES REVIEW OF TREATMENT OF POLITICALLY EXPOSED PERSONS
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BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS