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Financial Crime Prevention

Government publishes economic crime plan

Emma Radmore

12/07/2019

Conduct Enforcement & Litigation Investments

ESMA warns CFD providers on undesirable practices

ESMA is still concerned about firms that market, distribute or sell CFDs to retail clients. It has now published a warning to them, saying it is particularly worried about: encouraging retail clients to ask to opt up to...

Emma Radmore

12/07/2019

Consumer Credit Insurance Retail Banking

The Government responds to the Treasury Committee Report on Consumers’ Access to Financial Services

Caroline Stevenson

12/07/2019

Funds

Funds amendment legislation published in OJ

The Regulation on cross-border distribution of collective investment undertakings and Directive amending the UCITS Directive and AIFMD have been published in the OJEU. Many of the provisions of the Regulation take...

Barry Stimpson

12/07/2019

Pensions Uncategorized

Insurance broker banned for seven years for pension scheme negligence

Gavin Ellison

12/07/2019

Retail Banking

FCA Multi-firm review: Retail Banking: Business Continuity Planning

Caroline Stevenson

12/07/2019

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