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Compliance 4 November 2020
Regulatory Update: EU removes Cayman Islands from non-cooperative countries list and FCA extends relief for 10% notifications
Posted on 4 November 2020
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Compliance 4 November 2020
ESMA Consulting Paper reviewing the transaction reporting and reference data obligations under MiFIR
Posted on 4 November 2020
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TWEET by @lavenpartners
Compliance Officers, what's on your mind? 🧠At Laven Partners we are constantly striving to create the most valuable content for our followers. To aid us in this we would be grateful if you could answer the poll below. #financialservices #compliance #brexit #aml #ifpr #esg
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Compliance, Brexit 27 October 2020
Update on Regulated Distribution services after Brexit.
Posted on 27 October 2020
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FCA set to ban the sale of cryptoasset derivatives to retail consumers
Posted on 15 October 2020
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Payment Services Directive 2 (PSD2): A Brief Overview
Posted on 15 October 2020
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Compliance 8 October 2020
Fines for Unauthorised Pension Calls
Posted on 8 October 2020
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The Shareholder Rights Directive II: A Brief Overview
Posted on 6 October 2020
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Financial Crime Summary 23 September 2020
Financial Crime Summary: Q3 2020
Posted on 23 September 2020
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Compliance 23 September 2020
The FinCEN Files Leak: The Key Takeaways
Posted on 23 September 2020
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Regulatory Update 9 September 2020
New GABRIEL return for solo-regulated firms
Posted on 9 September 2020
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Compliance, Regulatory Update 27 August 2020
The Government launches consultation on a new regulatory framework for the approval of financial promotions for unauthorised firms.
Posted on 27 August 2020
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Compliance 13 August 2020
JMLSG Publishes New Anti-Money Laundering Guidance on PCAs and Cryptocurrency
Posted on 13 August 2020
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Compliance, GDPR 6 August 2020
Privacy Shield Invalidated: What's next?
Posted on 6 August 2020
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Compliance 31 July 2020
Consultation on new Financial Promotions framework
Posted on 31 July 2020
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Regulatory Update, COVID-19 23 July 2020
FCA Update: FCA to launch enhanced Financial Services Register & New Fintech Development Platform
Posted on 23 July 2020