Financial Transaction Tax 19th Oct 2011 Proposed Directive could have significant implications for EU financial institutions and those transacting with them
Prompt Response 19th Oct 2011 FSA impose large penalty on firm for inadequate arrangements to protect client assets
CMAR & CF10a 19th Oct 2011 CASS oversight function and reporting requirement in place since 1 October
FSA Action on Unregulated Collective Investment Schemes 19th Oct 2011 Compliance officer fined following penalty on firm
Mercurius 19th Oct 2011 Multiple failings led to prohibitions and fines for CEO and Compliance Officer
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... 19th Jun 2015
Fourth Money Laundering Directive: Proposed Amendments As we know the UK (and other Member States) have until 26 June 2017 to implement the Fourth... 5th Feb 2016
