Regulatory Archives - Page 13 of 25 - TISA

Read the latest news, press releases and publications here.

Best Practice – SMCR Handover Procedures, Living Will (8 January 2020)

January 8, 2020

Financial Action Task Force (FATF) – Easy Guide to FATF Standards & Methodology (16 December 2019)

December 16, 2019

Financial Conduct Authority (FCA) Policy Statement 19/29 (16 December 2019)

December 16, 2019

FinDatEx published MiFID Template – Version 3.0 (11 December 2019)

December 11, 2019

FCA extends the Senior Managers and Certification Regime to 47,000 firms (11 December 2019)

December 11, 2019

MiFID Investment Firms – Non-SMF Directors (2 December 2019)

December 2, 2019

ISA Annual Statistical and Claims Returns (28 November 2019)

November 28, 2019

Certifying a Power of Attorney – Can a stockbroker certify? (6 November 2019)

November 6, 2019

SM&CR Conduct Rules Training (1 November 2019)

November 1, 2019

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