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Tag Archives: banks

FCA Warns of ‘Significant Weaknesses’ in Firms’ Implementation of the Conduct Rules

All firms should take note of the FCA’s latest feedback on SMCR implementation. By Rob Moulton, Charlotte Collins and David Berman In its latest piece of feedback on firms’ implementation of the SMCR, the FCA indicated that firms must improve their implementation of the Certification Regime and, most particularly, the Conduct Rules. While the FCA’s … Continue Reading

UK and Italian Investment Services Firms Urged to Update Clients on Brexit

The Italian Securities Commission asks banks and investment firms in Italy and the UK to inform customers of Brexit consequences promptly. By Isabella Porchia On 12 March 2019, the Italian Securities Commission (CONSOB) issued a warning notice to UK and Italian banks and investment firms providing investment services and activities in Italy and the UK, … Continue Reading
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