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Home » Archives for April 2010
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30th Apr 2010
FSA fines Wins £4m
A new financial stability objective for the FSA
FSA fines to date in 2010 are up to £14.3m
Firms are still having issues with transaction reporting
No more shorting in Greece
Creates new statutory offences, replacing common law
15th Apr 2010
CESR has requested a 'Call for Evidence' to assess European equity markets
The FSA has released a 122 page bumper edition (CP10/10)
The FSA hit with a vengeance when it fined three big name firms a total of £4.2m for transaction reporting 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...
FCA change of London address
Of relevance to: All firms regulated by the FCA Key date: From June 2018 – update websites, literature,...
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