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Home » Archives for April 2011
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1st Apr 2011
FSA publishes amended guidance on completion of certain data forms
HMT consulting on prospectus requirements
FSA propose amendments to reporting OTC derivatives
Reduction of financial crime will remain a priority
FSA issues finalised guidance
Broker fined for client money failings
Changes made to improve quality of auditors' reports on client assets
FSA still updating ONA but remind firms that the delay is not a change of policy
Clarifies certain aspects of the Act and provides useful examples including what could constitute 'adequate procedures'
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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