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Home » Archives for November 2009
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19th Nov 2009
New liquidity rules
Inside information abused by individual
Unauthorised transactions involving customer money
Possibility of exemptions ceasing
Proposed registration of hedge fund managers in the US could have had implications for UK.
2007 deficiency remedies acknowledged
New draft rules governing close links reporting
Proposals to change FSA fee calculations
5th Nov 2009
Systems and controls failures
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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