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Home » Archives for January 2010
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Changes and corrections to SUP, DTR, COL and PRIN
Penalties equally split between firms and individuals
Indications of pending change
Part IV permission cancelled
FSA freezes staff salaries
FCA introduces new rules and guidance on how advice should be provided to consumers on pension transfers
Of relevance to: All firms advising on pension transfers, those acting as pension transfer specialists, pension providers, and...
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...
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