FRG Breakfast Briefing 233

Topics to be discussed:

  • FCA Occasional Paper 24 considers the factors that influence effective compliance; we will consider its suggestions for improving levels of compliance and the continuing regulatory focus on corporate culture – Nadia Swann
  • CP16/40 on retail contracts for difference and the FCA’s proposals to enhance conduct of business and investor protection – Jean Price
  • We will continue our MiFID II series with a round-up of the latest ESMA Q&As and expected developments in Q1 2017 – Peter Bevan