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Prosecution for change in control offences
FSA Emphasis on good corporate governance underlined
FSA issues report
Islamic bonds fall under Treasury regulation
Failures in systems and controls
Mis-marking fund assets
Changes and corrections to SUP, DTR, COL and PRIN
Penalties equally split between firms and individuals
Indications of pending change
Part IV permission cancelled
FSA freezes staff salaries
FSA will not introduce any new rules nor extend existing ones
Guidance submitted to HM Treasury
Uncertainty may lead to redrafting of rules
Changes to the Capital Requirements Directive
FSA brings clarification to capital planning
FSA's expectations for stress testing
Proposals to change FSA fee calculations
New draft rules governing close links reporting
FCA releases near final rules on SM&CR for FCA regulated firms.
On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for...
FCA Asset Management Conference – Insights
On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The...
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