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FCA sets out final mortgage guidance on credit rating reporting, repos and other support
By Neasa MacErlean
Online Published Date:
01 September 2020
Appeared in issue:
Vol 33 No 1 - 01 September 2020
“Winter is coming” – DP20/2 augurs prudential feats for investment firms
A recent discussion paper sets out to replace the patchwork of prudential requirements that currently govern investment firms with something more fit for purpose. But DP20/2 – and its forerunner FG20/1 – portend far-reaching implications for all firms, as Julian Sampson relates.
Online Published Date:
07 September 2020
Appeared in issue:
Vol 33 No 1 - 01 September 2020
How to handle ‘impossible complainants’
When things become a little crazy, the realsuperstars of the team shine. AdamSamuel shares wisdom on dealing with tricky – and, at times, unacceptable –complaint-handling scenarios.
Online Published Date:
07 September 2020
Appeared in issue:
Vol 33 No 1 - 01 September 2020
Criminal finance rules tightened for PSPs
New measures from the European Union to boostthe effectiveness, harmonisation, supervision, enforcement and co-ordination ofits anti-money laundering and counter-terrorist finance regime will have asignificant impact upon payment service providers in the United Kingdom. Charlotte Hill and Julia Steinhardt set out the requirements.
Online Published Date:
07 September 2020
Appeared in issue:
Vol 33 No 1 - 01 September 2020
Increased level of complaints upheld by FOS
The latest complaints statistics published by the Financial Ombudsman Scheme reveal an uptick in the percentage of disputes decided by the adjudicator in favour of the customer. Denis O’Connor analyses the data and ponders the implications for firms’ delivery of good customer outcomes.
Online Published Date:
07 September 2020
Appeared in issue:
Vol 33 No 1 - 01 September 2020
Addressing heightened risks for retail clients
As the coronavirus pandemic swept Europe, ESMA warned firms not to forget their conduct of business obligations under MiFID II. The Cyprus Securities and Exchange Commission has also reaffirmed its approach, reports Aki Corsoni-Husain.
Online Published Date:
07 September 2020
Appeared in issue:
Vol 33 No 1 - 01 September 2020
Cross-market manipulation under the microscope
Regulatory surveillance functions and capabilities are evolving to monitor for market abuse risks spanning multiple contracts and products across separate trading venues. Marlene Haas and Greg Leonard explore the developing landscape of EU, UK and US cross-market surveillance and enforcement.
Online Published Date:
11 September 2020
Appeared in issue:
Vol 33 No 1 - 01 September 2020
Getting regulatory reporting right
The systematic submission of incorrect reports is still going unnoticed for many firms. Matthew Chapman provides a MiFIR, EMIR and SFTR checklist to help prevent a multitude of sins.
Online Published Date:
11 September 2020
Appeared in issue:
Vol 33 No 1 - 01 September 2020
FCA orders swift contact with policyholders after business interruption decision
By Neasa MacErlean
Online Published Date:
15 September 2020
Appeared in issue:
Vol 33 No 2 - 01 October 2020
New pricing and transparency rules seek to halt insurance 'price-walking'
By Neasa MacErlean
Online Published Date:
23 September 2020
Appeared in issue:
Vol 33 No 2 - 01 October 2020
FCA consults on reducing risks of foreign firms operating in the UK
By Neasa MacErlean
Online Published Date:
24 September 2020
Appeared in issue:
Vol 33 No 2 - 01 October 2020
Bank consults on Brexit change to capital calculation for insurers
By Neasa MacErlean
Online Published Date:
29 September 2020
Appeared in issue:
Vol 33 No 2 - 01 October 2020
Jury finds against FCA in pioneering case on WhatsApp messages deletion
By Neasa MacErlean
Online Published Date:
29 September 2020
Appeared in issue:
Vol 33 No 2 - 01 October 2020