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Home » Archives for January 2011
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Additional charge for relevant firms to meet costs of consumer claims
Barclays Capital fined £1.12m for client money failings
Firms which are not broadly compliant must have in place a plan to rectify non-compliance
Areas under consideration include High Frequency Trading and transaction reporting
City Index fined for transaction reporting failings
Final rules and guidance
Final rules relating to remuneration disclosure
Changes to TC, appropriate qualifications and code of practice for approved persons
A bumper year
FSA and HMT joint consultation on implementation
Regime no longer applicable to BIPRU limited licence and limited activity firms
Proposal to provide FSA with prior notice of change
Proposed guidance on derivative risk management practices
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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