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Home » Archives for September 2012
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27th Sep 2012
New RDR Guide published by FSA
Amendments include changing the definition of 'financial institution'
Shift from a proactive to a forward-looking regulator
FSA consultation paper on procedural and Handbook changes which firms may wish to note
Proposals driven from a Conflicts of Interest perspective in relation to the provision of services to a firm's clients
Further changes to CASS regime proposed including changes required by EMIR
New European Commission consultation follows recent alleged manipulation of LIBOR
New consultative guidance follows FSA review of 22 firms of which 20 had incentive schemes which increased the risk of mis-selling
BlackRock Investment Management (UK) Ltd fined more than £9.5m for failures relating to trust status letters
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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