Quarterly Consultation Paper
The FSA has published Quarterly Consultation Paper CP10/15 (‘QCP’) which contains proposed changes to various parts of the Handbook. It is not the best composed paper as not only does […] [...]
The FSA has published Quarterly Consultation Paper CP10/15 (‘QCP’) which contains proposed changes to various parts of the Handbook. It is not the best composed paper as not only does […] [...]
The FSA have proposed four small changes to data item FSA003, improving the data reported by firms to the FSA. The amendments are relevant to all firms subject to the […] [...]
Following the FSA’s recent review of the Handbook they propose correcting a technical error in SUP 10.9.1R that sets out the types of firm where the significant management function (CF29) […] [...]
As you will know, BIPRU 12.1 – 12.4 (and 12.8 where relevant) applies to all BIPRU firms, whilst the remaining BIPRU 12 chapters only apply to ILAS BIPRU firms (limited […] [...]
There is a proposal to amend COBS 2.2 (‘Information disclosure before providing services’) for a firm, when it is managing investments for a professional client (that is not a natural […] [...]
The FSA has proposed changes to CASS 6 & 7, ‘Custody Rules’ and ‘Client Money Rules’ respectively. The FSA believe that the only types of firm that these changes will […] [...]
Following on from Regulatory Roundup #13 which covered the Bribery Act, the Government has recently released a press statement about the delay in the publication of guidance on the Bribery […] [...]
Father and son Jeffery and Jeremy Burley have been handed out financial penalties by the FSA for market abuse. Whilst people tend to co-operate with the FSA during an investigation […] [...]
CESR has issued an update to its September 2008 statement on short selling. The revised document will provide either statements or the links to the statements by Members on current […] [...]
Following an approach from the European Commission, CESR is consulting on aspects relating to client categorisation as currently set out in MiFID (which in turn is reflected in COBS 3, […] [...]
The US President has this week signed the H.R. 4173 ‘Restoring American Financial Stability Act of 2010’ (which can be found via the link). Contained within ‘Title IV–Regulation of Advisers […] [...]
The FSA has published its first Financial Crime Newsletter of the year, and the first since Margaret Cole took over responsibility for this area following the retirement of Philip Robinson. […] [...]
Following the article covering remuneration in Regulatory Roundup #16, the European Parliament voted on 7th July to amend elements of the Capital Requirements Directive (CRD3) impacting upon remuneration. The proposed […] [...]
Following a series of FSA actions relating to transaction reporting failures, many firms will have revisited their own transaction reporting procedures to ensure that they satisfy regulatory requirements. Portfolio managers […] [...]
As you will be aware from Regulatory Roundup #15, the European Commission has proposed the establishment of a European System of Financial Supervisors (ESFS) which will be composed of national […] [...]
Regulatory Roundup #13 contained an article on a consultation paper on the implementation of certain parts of the Financial Services Act 2010 (‘FSA2010’) and which introduced FINMAR to the regulated […] [...]
The Regulatory Gateway for Financial Promotions is Here
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Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024
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