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Home » Archives for February 2011
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Ex-Hong Kong regulator Martin Wheatley appointed to lead CPMA
Doubts raised by Treasury Select Committee concerning achievability of transition to new regulatory structure by 2012
Dear CEO' letter from FSA informs firms of progress towards transition to new structure
Second delay in issuance of guidance
Proposals for 2011 fees
Annual BP expected next month; FRO to be replaced
Commentary from industry and FSA
Non-approved person deemed to have significant influence over firm
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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