April, 2018 - Complyport UK Consultancy Service

5th revision of the MLD will bring greater transparency of beneficial ownership and enhance other areas

Of relevance to: All firms Key date: Adoption by July 2020 A fifth revision of the Money Laundering Directive (“5MLD”) – the current European Directive 2015/849 is the fourth […] [...]

FCA Financial Crime Guide to have new chapter on insider dealing and market manipulation

Of relevance to: All firms subject to the financial crime rules in SYSC 6.1.1R, and who arrange or execute transactions in financial markets Key dates: Comments to FCA by […] [...]

FCA publishes its Business Plan for 2018/19

Of relevance to: All firms The Financial Conduct Authority (“FCA”) has set out its key priorities for the coming year in its Business Plan for 2018/19, along with its […] [...]

FCA warns general insurance firms failing to clearly show last year’s insurance premium at renewal time

Of relevance to: All general insurance firms Key date: Immediate action required The Financial Conduct Authority (“FCA”) has warned it will take action against general insurance firms which are failing […] [...]

ESMA Technical Advice simplifying prospectuses format and content

Of relevance to: All firms involved in the production of prospectuses when securities are offered to the public or admitted to trading on a regulated market Key date: 21 January […] [...]

FCA introduces new rules and guidance on how advice should be provided to consumers on pension transfers

Of relevance to: All firms advising on pension transfers, those acting as pension transfer specialists, pension providers, and organisations providing software for pension transfer advice Key dates: 1 April 2018 […] [...]

Month: April 2018

5th revision of the MLD will bring greater transparency of beneficial ownership and enhance other areas

FCA Financial Crime Guide to have new chapter on insider dealing and market manipulation

FCA publishes its Business Plan for 2018/19

FCA warns general insurance firms failing to clearly show last year’s insurance premium at renewal time

ESMA Technical Advice simplifying prospectuses format and content

FCA introduces new rules and guidance on how advice should be provided to consumers on pension transfers

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