08 February 2010 - Complyport UK Consultancy Service

Corporate Governance

The FSA has issued Consultation Paper CP10/03: ‘Effective corporate governance’. As we all know, the FSA places considerable emphasis on good corporate governance and is a subject matter that can […] [...]

Client Money and Assets

The FSA has issued a fairly scathing report on the handling of client money and assets by firms. Regulatory action has been taken against a number of firms including s166 […] [...]

AFIBs

The Regulatory Roundup of 5th November included an article on ‘alternative finance investment bonds’ which will cover the sukuk (Islamic bond) market. The nature of such bonds is that some […] [...]

Fine start to the year (1)

Thanks to Standard Life, the FSA has made a good start to the year with fines totalling £2.5m in the month of January. The penalty was in respect of failures […] [...]

Fine start to the year (2)

On the subject of fines, February started with the FSA releasing details of Simon Treacher mis-marking fund assets whilst a fund manager at BlueRay Asset Management Ltd. Mr Treacher was […] [...]

Day: 8 February 2010

Corporate Governance

Client Money and Assets

AFIBs

Fine start to the year (1)

Fine start to the year (2)

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