Client Money Failings

BlackRock Investment Management (UK) Ltd fined more than £9.5m for failures relating to trust status letters

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New consultative guidance follows FSA review of 22 firms of which 20 had incentive schemes which increased the risk of mis-selling

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CASS Proposals

Further changes to CASS regime proposed including changes required by EMIR

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Regulatory Reform

FSA consultation paper on procedural and Handbook changes which firms may wish to note

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