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Inside information abused by individual
New liquidity rules
Proposals to change FSA fee calculations
New draft rules governing close links reporting
2007 deficiency remedies acknowledged
Proposed registration of hedge fund managers in the US could have had implications for UK.
A phased approach
IOSCO Consultation paper published
Alternative finance investment bonds' document issued
Money Laundering and Terrorist Financing report
Systems and controls failures
Financial promotions COBS compliance
Are rules effective and proportionate?
A applications and notifications submission to change
Prosecution outside FSMA 2000
Poor controls and employee fraud
Now top financial centre
Intensive regulatory approach
The final word?
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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