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Home » Archives for November 2009
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Proposals to change FSA fee calculations
New draft rules governing close links reporting
2007 deficiency remedies acknowledged
Proposed registration of hedge fund managers in the US could have had implications for UK.
Possibility of exemptions ceasing
Unauthorised transactions involving customer money
Inside information abused by individual
New liquidity rules
A phased approach
IOSCO Consultation paper published
Alternative finance investment bonds' document issued
Money Laundering and Terrorist Financing report
Systems and controls failures
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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