Regulatory Focus Newsletter-June 2015

Welcome to the latest issue of regulatory focus, our regulatory newsletter for the financial services community.

Further to recent enforcement cases, the FCA has highlighted in its regulatory round-up publication that it is vital for all firms to co-operate with the regulator under Principle 11. Principle 11 states that a firm must deal with its regulators in an open and co-operative way, and must disclose to the appropriate regulator anything relating to the firm of which the regulator would reasonably expect notice. 

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