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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Regime no longer applicable to BIPRU limited licence and limited activity firms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 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...
FCA Asset Management Conference – Insights
On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The...
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