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Regulatory Roundup
18 January 2012
Issue 38

Topics ... Anti-Money Laundering Appointed Representatives Approved Persons Authorised Funds Bribery Capital Requirements Clearing Client Assets Client Categorisation Client Money Complaints Complyport Controlled Functions Corporate Governance CRD Data Security Disclosure EMIR Enforcement EU Fees Financial Crime Financial Promotions Fines FSA Government Instruments International Islamic Finance Jersey Liquidity Market Abuse Marketing MiFID Mobile Phone Recording Pillar 3 Private Equity RDR Regulatory Reform Remuneration Remuneration Code Reporting Retail Distribution Review Risk Short Selling Skilled Persons Report Skilled Persons Reports Small Firms Suitability Supervision Surveys Systems and Controls TCF Training and Competence Transaction Reporting UCIS UCITS US Venture Capital Issues ... Issue 38 Issue 37 Issue 36 Issue 35 Issue 34 Issue 33 Issue 32 Issue 31 Issue 30 Issue 29 Issue 28 Issue 27 Issue 26 Issue 25 Issue 24 Issue 23 Issue 22 Issue 21 Issue 20 Issue 19 Issue 18 Issue 17 Issue 16 Issue 15 Issue 14 Issue 13 Issue 12 Issue 11 Issue 10 Issue 9 Issue 8 Issue 7 Issue 6 Issue 5 Issue 4 Issue 3 Issue 2 Issue 1 Alerts     

Contents

1. Suitability: Draft Guidelines
Draft guidelines published by ESMA

2. ESMA: Compliance Function Guidelines
Compliance function guidelines

3. CICA
Final Notice issued to firm

4. Fine End To The Year
Total penalties down from 2010 to £66.14M

5. Client Money: Auditor Failings
PwC fined £1.4M

6. Insider Dealing
Latest insider dealing case

All articles