Approved persons & significant influence functions (SIFs)
The FSA has sent a ‘Dear CEO’ letter to 5,000 regulated firms to reinforce how the FSA’s intensive regulatory approach (‘more intrusive approach’ is used in the letter) applies to […] [...]
The FSA has sent a ‘Dear CEO’ letter to 5,000 regulated firms to reinforce how the FSA’s intensive regulatory approach (‘more intrusive approach’ is used in the letter) applies to […] [...]
The FSA is currently looking at the promotion and advice process in respect of unregulated collective investment schemes and is sending out letters (which will refer to an on-line questionnaire) […] [...]
The FSA held a briefing on October 9th on wholesale brokers, although many of the topics discussed could equally apply across the spectrum of wholesale small firms. What was particularly […] [...]
HM Treasury has announced a review of the Money Laundering Regulations 2007 which implemented the EU’s Third Money Laundering Directive in the UK. The intention is to consider how effective […] [...]
A reminder that changes in the way that applications and notifications are submitted to the FSA are proposed. The new reporting system – Online Notifications and Applications (‘ONA’) – will […] [...]
After the shock of reading that the FSA had apparently gone soft – or had lost its argument – on Darren Morton and Christopher Parry (who were accused of market […] [...]
And for good measure the FSA has fined Seymour Pierce £154,000 for poor controls to guard against employee fraud. The facts of the case made incredible reading; an employee managed […] [...]
A survey by the World Economic Forum shows that the UK is now the top financial centre out of 55 of the world’s largest financially-focussed countries. The previous holder was […] [...]
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