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Home » Archives for October 2009
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16th Oct 2009
Prosecution outside FSMA 2000
Poor controls and employee fraud
A applications and notifications submission to change
Now top financial centre
Are rules effective and proportionate?
Intensive regulatory approach
Financial promotions COBS compliance
8th Oct 2009
FSA Feedback Statement on short selling
Professional Clients and the Financial Ombudsman Service
Background Changes are being made to the Disputes Resolution Sourcebook: Complaints Sourcebook (DISP) of the FCA Handbook. The...
Fourth Money Laundering Directive: Proposed Amendments
As we know the UK (and other Member States) have until 26 June 2017 to implement the Fourth...
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