Regulatory Roundup
15 May 2012
Issue 40

    


Contents

1. Exchange Traded Products
FSA issues factsheet on key features and risks

2. Corporate Governance: Hector Sants
Outgoing CEO sets out expectations for good corporate governance

3. Corporate Governance: Mitsui
Failings led to £3.345M financial penalty

4. Training and Competence
Proposed changes to TC include addition of 3 new 'appropriate' qualifications

5. Cold-Shouldering
Reminder for firms to make approved persons aware of cold-shouldering cases

6. Recovery and Resolution Plans Update
FSA issues Feedback Statement and FAQs

7. Currie Conflicts
FSA fines Martin Currie £3.5M for failing to properly manage a conflict of interest

All articles