Regulatory Archives - Page 15 of 25 - TISA

Read the latest news, press releases and publications here.

Publication of FCA and Practitioner Panel Joint Survey Findings (31 July 2019)

July 31, 2019

FCA Policy Statement – Optimising the Senior Managers & Certification Regime (29 July 2019)

July 29, 2019

Directory update FAQ for firms (10 July 2019)

July 10, 2019

Power of Attorney Guide (9 May 2019)

May 9, 2019

Response by TISA to CP 19/4: Optimising the Senior Managers & Certification Regime and feedback to DP 16/4 – Overall responsibility and the legal function ISA Manager Returns – APS Reporting (11 April 2019)

April 11, 2019

SM&CR – Conduct Rules case studies and Behaviours and the Conduct Rules/Fitness and Propriety ISA Manager Returns – APS Reporting (11 April 2019)

April 11, 2019

SM&CR – Obligations on the individual through the employee lifecycle (BAU processes) ISA Manager Returns – APS Reporting (10 April 2019)

April 10, 2019

FCA – final rules that will apply if the UK leaves the EU without a deal ISA Manager Returns – APS Reporting (2 April 2019)

April 2, 2019

CP19/5 Retirement Outcome Review: Investment pathways and other proposed changes to our rules and guidance ISA Manager Returns – APS Reporting (2 April 2019)

April 2, 2019

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