Financial Transaction Tax Proposed Directive could have significant implications for EU financial institutions and those transacting with them
Prompt Response FSA impose large penalty on firm for inadequate arrangements to protect client assets
FSA Action on Unregulated Collective Investment Schemes Compliance officer fined following penalty on firm
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...
ICO: Data Protection registration and fees Of relevance to: All firms processing personal data, including data controllers currently registered with the ICO Key date:...
