FINRA ALERT – Phishing Campaign Targets SEC Registrants

FINRA ALERT – Phishing Campaign Targets SEC Registrants

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Compliance

UK’s Investment Firms Prudential Regime – 1 January 2022 Implementation Announced

On 16 November 2020 HM Treasury plus the UK’s financial services regulators – the Prudential Regulation Authority and the Financial Conduct Authority – issued a joint statement in which they set a target date for implementation of the UK’s Investment Firms Prudential Regime (‘IFDR’) of 1 January 2022.

Compliance

FCA bans three individuals over non-financial criminal convictions

The UK Financial Conduct Authority (“FCA”) has banned three individuals from working in the financial services industry, following their convictions of serious non-financial criminal offences.

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