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Intensive regulatory approach
Financial promotions COBS compliance
Are rules effective and proportionate?
A applications and notifications submission to change
Prosecution outside FSMA 2000
Poor controls and employee fraud
Now top financial centre
The final word?
FSA Feedback Statement on short selling
Global economic growth positive
Two-thirds of hedge funds could exist within UCITS wrapper
FSA 'credible deterrence' strategy
FCA Financial Crime Guide to have new chapter on insider dealing and market manipulation
Of relevance to: All firms subject to the financial crime rules in SYSC 6.1.1R, and who arrange...
FCA releases near final rules on SM&CR for FCA regulated firms.
On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for...
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