As summer begins to draw to a close we are fast approaching a particularly busy time for compliance professionals of financial services firms. The article from NRF provides an overview of some of the key financial services initiatives that are set to make in-trays even deeper when compliance staff return from their summer break. These include:
Senior managers’ regime: the countdown to March 2016
MiFID II and MiFIR: technical standards
MAR: FCA consultation
Benchmarks: oversight and controls
Consumer credit: rule changes on the horizon
Mortgages: 21 March 2016
Wholesale conduct risk
Enforcement
Read the full Norton Rose Fulbright article here