RegulatoryCompliance

Regulatory compliance for alternative asset management industry.............. If you think compliance is expensive, you should try non-compliance...

[RegulatoryCompliance @dompliance]

https://t.co/bO72zxgA5G

[RegulatoryCompliance @dompliance]

The regulatory hosting model in the UK: Current challenges and potential developments https://t.co/zOhchJ2RCm

[RegulatoryCompliance @dompliance]

A final reminder, if any needed at this very late stage, of the 'cliff-edge' risks facing UK financial services firms needing to operate in the EU in just seven weeks time

[Financial Conduct Authority @TheFCA]

Nausicaa Delfas, our Executive Director of International, gave a keynote speech at the City and Financial Global Summit, giving her view on preparing for the end of the #Brexit transition period and getting ready for a new environment. Read the speech: https://t.co/yjns1vZr5O

[RegulatoryCompliance @dompliance]

@SophiaFurber @SMTuffy Oh that's fabulous - Regs on Toast anyone?

[Cordium @cordiumgroup]

FinCEN’s recently updated advisory indicated a sharp rise in business email compromise fraud across financial services and other industries. Learn more here: https://t.co/Ns5ylcphNI #cyber #fraud

[RegulatoryCompliance @dompliance]

Now published, @TheFCA's review of the Appointed Representative space in the Investment Management sector https://t.co/PWLSLNH9oM

[RegulatoryCompliance @dompliance]

Evidence if any needed that @TheFCA is cracking down on abuses in the Appointed Representatives space https://t.co/cLutxrAjPI

[RegulatoryCompliance @dompliance]

...as Appointed Reps are not permitted to manage investments.

[RegulatoryCompliance @dompliance]

Hearing the FCA is cracking down on Appointed Representatives that are managing investments under their Principal firm - anyone heard more?

[RegulatoryCompliance @dompliance]

1,068 pages of reading in this Policy Statement, before the 45-page sixth MiFID II consultation paper CP17/19. Holiday reading from @TheFCA https://t.co/cMeSmQyXQQ

[Financial Conduct Authority @TheFCA]

Policy Statement: MiFID II implementation – Policy Statement II (PS17/14) https://t.co/ZnFLOWIWPC

[RegulatoryCompliance @dompliance]

Dividend arbitrage may be financial crime and market abuse, says @TheFCA. So you'd better include it in your trade surveillance. https://t.co/9PXatpCNdr

[Financial Conduct Authority @TheFCA]

Our latest Market Watch newsletter: Dividend arbitrage – our requirements for firms https://t.co/lvFidHEbx2

[RegulatoryCompliance @dompliance]

Great summary of the proposed prudential rules - simpler, but higher: https://t.co/8Ca81pQ6CQ

[RegulatoryCompliance @dompliance]

Just 1wk left to reply to EBA's proposed new prudential regime for investment firms - reqd capital *could* double - https://t.co/jIuveBjMtB

[RegulatoryCompliance @dompliance]

Hedge fund launches heading for eight-year low https://t.co/EB0iP6BiKH via @FT

[RegulatoryCompliance @dompliance]

Applications and notifications under MiFID II - FCA User Guide released https://t.co/zCeS8YHfUz

[eFinancialCareers @efc_global]

Will city traders learn from Kweku Adoboli mistakes? Probably not. https://t.co/70Dzh7bcBo

[RegulatoryCompliance @dompliance]

Important info from the FCA for principal firms with appointed reps to heed from the FCA's insurance sector study... https://t.co/3kpeibWNtY

[Umbrella Hunter @Umbrella_Hunter]

The FCA has feedback on insurance umbrellas that any firm offering ARs should read
https://t.co/WSDn96b0sJ

[Financial Conduct Authority @TheFCA]

Just published - finalised guidance for firms outsourcing to the cloud #projectinnovate - https://t.co/TguJE5bVeQ

[RegulatoryCompliance @dompliance]

The Psychology of Regulation: Applying 'Nudge Theory' to Compliance https://t.co/d5lVo1XW9b via @marketsmedia

[Financial Conduct Authority @TheFCA]

Press release: We fine and restrict W H Ireland Limited for market abuse risks https://t.co/xgTyrRRUAA