We are now in a critical period where the FCA is focussing on how firms have embedded the reforms that were introduced in 2018. For example, the FCA’s CEO, Andrew Bailey, has recently stated that the regulator has been carrying out a multi-firm review into the MiFID II rules on investment research and that formal feedback will be provided in Q2 2019.
We have also seen the FCA issue fines this year so far totalling £135,979.987 which is more than double the fines issued for 2018. This includes the regulator fining an individual for failing to observe proper standards of market conduct and on similar facts issuing its first formal decision under its competition powers against three asset management firms.
- Skilled persons reviews – what we are seeing
- Our developing thinking on MiFID II enforcement action
- Failing to observe proper standards of market conduct – recent FCA enforcement action
Who should attend?
The briefings are likely to be of particular value to senior and middle management within financial institutions with responsibility for compliance, capital markets, investment management, legal, risk and trading.
CPD points will be available if required. There is no charge for attending.
The briefings will be recorded via webcast and are available after the briefing.
For further information please email: firstname.lastname@example.org