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Home » Archives for January 2011
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31st Jan 2011
City Index fined for transaction reporting failings
Areas under consideration include High Frequency Trading and transaction reporting
Firms which are not broadly compliant must have in place a plan to rectify non-compliance
Barclays Capital fined £1.12m for client money failings
Additional charge for relevant firms to meet costs of consumer claims
13th Jan 2011
Proposed guidance on derivative risk management practices
Proposal to provide FSA with prior notice of change
Regime no longer applicable to BIPRU limited licence and limited activity firms
FSA and HMT joint consultation on implementation
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...
Fourth Money Laundering Directive: Proposed Amendments
As we know the UK (and other Member States) have until 26 June 2017 to implement the Fourth...
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