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Home » Archives for October 2011
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19th Oct 2011
14 months to go
Consultative Guidance on Payment for Order Flow
Multiple failings led to prohibitions and fines for CEO and Compliance Officer
Compliance officer fined following penalty on firm
New SEC rule for Large Traders of US exchange-listed securities
Hard go-live' date is 13 November at latest
CASS oversight function and reporting requirement in place since 1 October
FSA impose large penalty on firm for inadequate arrangements to protect client assets
Final guidance issued
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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