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FSA issues factsheet on key features and risks
Outgoing CEO sets out expectations for good corporate governance
Failings led to £3.345M financial penalty
Proposed changes to TC include addition of 3 new 'appropriate' qualifications
Reminder for firms to make approved persons aware of cold-shouldering cases
FSA issues Feedback Statement and FAQs
FSA fines Martin Currie £3.5M for failing to properly manage a conflict of interest
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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