05 November 2009 - Complyport UK Consultancy Service

New Liquidity rules come into force on 1 December 2009 – Are you ready?

If your firm is a BIPRU firm then the following should assist in complying with the new liquidity rules coming into force this December. If your firm is not a […] [...]

Private Equity & Conflicts of Interest

IOSCO – the International Organization of Securities Commissions – has published a consultation paper on ‘Private Equity Conflicts of Interest’. The working group was chaired by Dan Waters, the FSA’s […] [...]

Sukuk and see

HM Treasury and FSA have issued a joint document on ‘alternative finance investment bonds’ (‘AFIBs’). These are a subset of the sukuk market, which in turn are financial instruments that […] [...]

Financial Action Task Force report (‘FATF’)

FATF has released a report on Money Laundering and Terrorist Financing in the Securities Sector. The document is based upon a mixture of questionnaire results and workshops/consultations. Comment is made […] [...]

Fine time

UBS (AG) has been fined £8m for failures in systems and controls that enabled four employees to carry out unauthorised transactions involving customer money ‘on at least 39 accounts’. As […] [...]

Day: 5 November 2009

New Liquidity rules come into force on 1 December 2009 – Are you ready?

Private Equity & Conflicts of Interest

Sukuk and see

Financial Action Task Force report (‘FATF’)

Fine time

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