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FSA regulates majority of European hedge fund industry
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
Penalties equally split between firms and individuals
Indications of pending change
Part IV permission cancelled
FSA freezes staff salaries
Changes and corrections to SUP, DTR, COL and PRIN
Changes to the Capital Requirements Directive
FSA brings clarification to capital planning
FSA's expectations for stress testing
FSA will not introduce any new rules nor extend existing ones
Guidance submitted to HM Treasury
Uncertainty may lead to redrafting of rules
Proposals to change FSA fee calculations
New draft rules governing close links reporting
2007 deficiency remedies acknowledged
FCA FIRDS and Transaction Reporting
Should the UK leave the EU without a transition period, the FCA expects firms, trading venues and ARMs...
Senior Managers and Certification Regime: The FCA has published the final rules on the extension of the Senior Managers and Certification Regime (SM&CR) for solo-regulated firms
The SM&CR is being extended to FCA solo-regulated firms on 9 December 2019. The aim of the SM&CR...
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