The Compliance Officers' E-Information Centre

The Compliance Exchange is an online research facility for individuals concerned with governance issues in the financial services industry. It is intended to assist compliance officers, directors and those who study, service or regulate financial services in the United Kingdom and internationally. The Compliance Exchange, started in 1995, aims to present a collection of links to selective and relevant information sources.

Select from items at the left or below to view detailed links

Bank of England HMT FCA JMLSG ESMA

Principles For Responsible Investment Annual Report 2018
FCA speech on climate change "Global problem, global solution" 18 October 2018
EU General Data Protection Regulation (EU) 2016/679 effective 25 May 2018
ESMA CFD restrictions paper 18 January 2018
Retail Banking Market Investigation Order 2017 - in force 13 January 2018
EU list of non-cooperative tax havens 5 December 2017
MiFID II Finalised FCA Handbook text, ready for 3 Jan 2018 - see Appendix 1 (PS17/14)
Global FX Code May 2017
FCA Business Plan 2017/18
FCA CP 16/40: CFDs - enhancing the conduct of business regime (closes 7 March 2017)
EU Market Abuse Regulations MAR effective 3 July 2016
Bank for International Settlements Global FX Code update - 26 May 2016
The Panama Papers - ICIJ 4 April 2016
FCA's Financial Advice Market Review - March 2016
Transparency International - Corruption Perceptions Index 2016 - published 25 Jan 2017
FCA Handbook
PRA Rulebook
Bank of England and Financial Services Act 2016
Financial Services (Banking Reform) Act 2013 Amendments to FSMA 2000
The Financial Services Act 2012
The Financial Services Act 2010
The Financial Services and Markets Act 2000
Archive of articles and links of interest