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



Read the full Norton Rose Fulbright article here

Categories: Financial Markets

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