30 March 2017 - Complyport UK Consultancy Service

Use of Dealing Commission 2017

Of Relevance to: Investment Managers As mentioned in the separate article “Best Execution” in this Regulatory Roundup, the FCA recently completed a follow-up review looking at how investment managers oversee […] [...]

Money Laundering: Changes to Guidance

Of Relevance to: All regulated firms The Joint Money Laundering Steering Group (“JMLSG”) is consulting on changes to Part I of the Guidance – the current version was last amended […] [...]

Financial Year 2016: Submissions to the SFC

Of interest to: Hong Kong Licenced Firms A reminder of the annual submissions due to the SFC by Friday 28 April 2017 for firms having their financial year ending December: […] [...]

Money Laundering: New Watchdog for Professional Bodies

Of relevance to: All firms for general interest HM Treasury has announced the creation of a new money laundering watchdog that will tackle potential weaknesses in the money laundering supervisory […] [...]

Money Laundering – Politically Exposed Persons

Of Relevance to: All regulated firms Draft UK Regulations transposing 4MLD into national law were published on 15 March 2017. The concept of Politically Exposed Persons (“PEPs”) and the need […] [...]

Loan-based Crowdfunding

Of Relevance to: Firms that operate loan-based crowdfunding platforms Those firms operating loan-based crowdfunding platforms – and specifically ones which facilitate loans to lending businesses – should have received, and […] [...]

Day: 30 March 2017

Use of Dealing Commission 2017

Money Laundering: Changes to Guidance

Financial Year 2016: Submissions to the SFC

Money Laundering: New Watchdog for Professional Bodies

Money Laundering – Politically Exposed Persons

Loan-based Crowdfunding

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