Compliance
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

FCA Business Plan 2017/18
FCA CP 16/40: CFDs - enhancing the conduct of business regime (closes 7 March 2017)
UK Government consultation on penalties for breaches of financial sanctions (closes 26 Jan 2017)
HM Treasury consultation on amending the definition of financial advice (closes 15 Nov 2016)
FCA's third MiFID II consultation 29 September 2016 with draft handbook text for new SYSC taping rules and new COBS
EU Market Abuse Regulations MAR effective 3 July 2016
MARKET ABUSE REGULATION INSTRUMENT 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 2015 - published 27 Jan 2016
European Banking Authority final Guidelines on remuneration and proportionality 21 December 2015
Andrew Green QC Report into FSA’s enforcement actions following the failure of HBOS 19 November 2015
HM Treasury plans to extend Senior Managers and Certification Regime to all firms: policy paper 15 October 2015
Global Financial Centers Index 18 sponsored by QFCA 23 Sept 2015
World's 300 largest pension funds Towers Watson report Sept 2015
FCA Handbook August 2015
PRA Rulebook August 2015
EU member countries' assessments of tax havens 17 June 2015
Fair and Effective Markets Review of Fixed Income, Currency and Commodities (FICC) markets 10 June 2015
Transparency International - Global Corruption Barometer 2013
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
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Archive of articles and links of interest