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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
Additional charge for relevant firms to meet costs of consumer claims
Barclays Capital fined £1.12m for client money failings
13th Jan 2011
Final rules and guidance
Final rules relating to remuneration disclosure
Changes to TC, appropriate qualifications and code of practice for approved persons
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...
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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