13 September 2010 - Complyport UK Consultancy Service

Outsourcing and data loss

A large fine (£2.275m) was imposed on Zurich Insurance Plc for systems and controls failings following the loss of customers’ confidential information. Although, at first sight, the problems of a […] [...]

More transaction action

Since the Commerzbank AG fine imposed by the FSA in April (see Regulatory Roundup #13), things had been quiet on the (failure to) transaction report front. However behind the scenes […] [...]

Read all about it

The FSA previously maintained a Document Viewing Facility (DVF) in the reception of the FSA building at 25 North Colonnade, Canary Wharf. This provided access to documents made public by […] [...]

Short selling update

In Regulatory Roundup #17 we advised that the new sourcebook FINMAR would contain the largely unchanged short selling disclosure requirements from MAR, save for the rights issue disclosure requirements being […] [...]

More on the remuneration code

The proposed changes to the Remuneration Code (basically the current SYSC 19 will be deleted and replaced by new text) was covered in Regulatory Roundup #18 & #19. Not surprisingly, […] [...]

Notification obligations

Firms will be aware of the publicity arising from the fine imposed by the FSA on Goldman Sachs International (GSI). The fine (£17.5m) is the second largest fine imposed in […] [...]

Day: 13 September 2010

Outsourcing and data loss

More transaction action

Read all about it

Short selling update

More on the remuneration code

Notification obligations

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