In this edition of Regulatory Focus, Duff & Phelps provides a synopsis of the FCA's latest news and publications issued in January 2017.
Highlights include:
- The FCA's review of firms and their Appointed Representatives
- An update on the SEC
- The publication of MiFID II authorisation guidance - 'The Guide'
- Annex IV Reporting
Read Regulatory Focus - Issue 103
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.