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Home » Archives for May 2012
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15th May 2012
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
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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