Regulation Round Up - March 2023 - Fund Management/ REITs
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Source: mondaq.com
Page 13 - Certification Regime News Today : Breaking News, Live Updates & Top Stories | Vimarsana
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Regulation Round Up - March 2023 | Proskauer Rose LLP
31 March - SFTR: The European Securities and Markets Authority (“ESMA”) published an updated version of its Q&As (ESMA74-362-893) on complying with reporting requirements ...
Source: jdsupra.com
UK Seeks Feedback For Senior Managers and Certification Regime Changes
FCA, PRA, UK Government are looking for feedback by 1 June 2023 to guide potential changes to Senior Managers and Certification Regime, UK’s regime designed to improve individual accountability and conduct standards of mostly senior personnel in financial services firms.
Source: natlawreview.com
UK SMCR: HMT Call for Evidence and FCA/PRA Discussion Paper | Hogan Lovells
On 30 March 2023, the FCA and PRA published a joint discussion paper which seeks views on the operational aspects of the Senior Managers and Certification Regime. Alongside this, HM...
Source: jdsupra.com
You've got mail: FCA watching Consumer Duty preparation
Val Rogerson explores recent communication from the regulator on Consumer Duty compliance and identifies three key themes advisers should take note of...
Source: professionaladviser.com