FRG Breakfast Briefing 234

Topics to be discussed:

  • We continue our MiFID II series with a round-up of the latest ESMA updates in relation to SIs – Peter Bevan
  • With the extension of the Conduct Rules to all staff applying from 7 March, and the forthcoming widening of the SMCR regime to all firms, we will have a look at developments in the SMCR space – Julia Dixon 
  • Following the Deutsche Bank final notice, and in light of the FCA focus on AML, we will take a look at recent enforcement trends and discuss the approach of the regulator – Ben Packer