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Home » Archives for June 2012
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13th Jun 2012
Action taken against firm and MLRO for failings including inadequate review of AML systems and controls and poor record keeping of staff AML training
FSA and HM Treasury publish near-final rules which will result in changes to the PR and DTR modules of the FSA Handbook
FSA fines director £60k for failings in relation to promotion of UCIS and prohibits him from continuing as an approved person
FSA's overall Annual Funding Requirement to increase by 11.9%
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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