09 August 2010 - Complyport UK Consultancy Service

Dodd-Frank revisited

Following on from Regulatory Roundup #17 we have had requests for further details on the regulatory developments within the US. As you will know, the ‘Dodd Bill’ was enacted on […] [...]

Following Regulatory Roundup #18 – ‘Remuneration Code Special’ – we would like to take this opportunity to remind firms that a proportionality approach can be adopted and our article advised […] [...]

Strengthening Capital

Regulatory Roundup #6 contained an article on CP09/29 – ‘Strengthening Capital Standards 3’, which contained proposals for implementing changes to the Capital Requirements Directive (‘CRD’). Of interest to the majority […] [...]

Unregulated Collective Investment Schemes

Regulatory Roundup #3 advised that the FSA was looking at the promotion of unregulated collective investment schemes (‘UCIS’). The Regulator has now published its findings alongside a separate document on […] [...]

Fuzzy matching and financial sanctions

The big fine imposed on Royal Bank of Scotland (£5.6m) by the FSA for breaches of Money Laundering Regulations 2007 hit the headlines earlier this week. Apart from issues with […] [...]

Day: 9 August 2010

Dodd-Frank revisited

Remuneration Code (again)

Strengthening Capital

Unregulated Collective Investment Schemes

Fuzzy matching and financial sanctions

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