EFFECTA REGULATORY ROUNDUP FOR 2021
February 1, 2022 by Clare Curtis
ROUNDUP FOR 2021
Welcome to the second 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:
- Coronavirus – Remote Working
- New Prudential Rules and ICARA process
- Brexit and the Temporary Permission Regime
- New Consumer Duty – Retail Clients
- Rise of Environmental, Social and Governance (“ESG”) Issues
- FCA Business Plan
- Research and Best Execution Changes
- HMT Wholesale Markets Review
- Diversity and Inclusion