Jean Hurley, Martina Lindberg3 min read
GRIP2 min read
Alex Viall1 min read
Information to be recorded on each representative should include:
A firm is required to retain these records for at least three years from the date of the termination or the amendment of the contract.
For tied agents the records must be retained for five years.
The move is aimed at creating a modern and efficient trading system in the UK, in line with international standards.
Hameed Shuja2 min read
Our at-a-glance guide to recent FCA activity.
Hameed Shuja3 min read
Following a recent FCA review into firms’ money laundering defences, Tony McClements gives advice on how to stay ahead of the regulatory curve.
Tony McClements | MKS Law2 min read
Proposals aim to make prospectus regime more accessible and less burdensome for issuers, while opening new opportunities for retail investors.
Alasdair Steele | CMS, Michael Cavers | CMS3 min read
But critics argue too much government intervention could weaken the UK's strong independent regulatory sector.
Hameed Shuja1 min read
The top Court is set to make a decision in the case in April, and its implication could be far-reaching.
Hameed Shuja1 min read
The agency is facing a 'leadership situation' as it starts looking for a new Chair and CEO.
Hameed Shuja1 min read
The current Labour government has constantly put pressure on regulators to prioritise growth.
Hameed Shuja2 min read