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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 change of London address
Of relevance to: All firms regulated by the FCA Key date: From June 2018 – update websites, literature,...
GDPR Compliance is now a board level responsibility
Of relevance to: All FCA-regulated firms Key date: Applicable from 25 May 2018 The Financial Conduct Authority (“FCA”)...
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