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For Complinet awards
Consultation Paper on changes brought about by the Financial Services Act 2010
New data item for non-ILAS BIPRU firms
Rosalie Langley Judd speaks on Corporate Governance
Release of Policy Statement PS10/15
Market Watch No. 37
Submitted to FSA
BIPRU firms to meet higher capital requirements in adverse external circumstances
Memorandum of Understanding
Wholesale Small Firms
Gerald Casey and Direct Sharedeal
FSA Consultation Paper
FSA clarify reporting requirements
FSA Drafting error
Proposal to harmonise Short Selling across the EU
Regulation of OTC derivatives
AIMA Annual Conference
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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