Effecta Regulatory Newsletter no 1. 2021

May 7, 2021

Welcome to the Effecta Compliance regulatory newsletter. In the ever changing regulatory landscape, it is key that firms keep up to date to with latest compliance developments and ensure relevant compliance changes are considered internally and implemented by firms and ahead of any deadlines set by the Regulator. Our newsletter is designed to provide information on the latest regulatory topics in an easy to read and succinct format. In this newsletter we cover the following topics:

  • New Prudential Regime for Investment Firms (Update April 2021)
  • Financial Conduct Authority Temporary Permission Regime
  • Senior Managers and Certification Regime Staff Certifications
  • FCA Fee and Levy Consultation 
  • Annual Financial Crime Report
  • RTS 27 Best Execution Reports and 10% Depreciation Notifications
  • Transaction Reporting and Brexit
  • Environmental Social Governance amendments to AIFMD and UCITS Directive
  • Operational Resilience policy statement 
  • FCA new online invoicing portal
  • FCA Statement on Diversity
  • HMT consultation on Stablecoins

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