31 January 2011 - Complyport UK Consultancy Service

FSCS Interim Levy

We are aware that several of our clients have been left reeling following receipt of an FSCS 2010/11 Interim levy request for further payment. The additional levy is to meet […] [...]

Client Money

Not a good start to the year for Barclays. On top of the £7.7m fine for investment advice failings (Barclays Bank), Barclays Capital (BarCap) incurred a £1.12m fine for client […] [...]

Firms should now be ‘broadly compliant’ with most of the Remuneration Code Principles in keeping with section 4.6 of PS10/20 ‘Revising the Remuneration Code’ – see Regulatory Roundup 24 which […] [...]

MiFID Review

It is now over three years since MiFID came into force, the requirements being reflected in the relevant parts of the FSA handbook. In recognition of market developments since that […] [...]

Transaction Failings

City Index Ltd is the seventh firm to be fined by the FSA in the past 18 months or so for transaction reporting failures. The last transaction reporting case was […] [...]

Day: 31 January 2011

FSCS Interim Levy

Client Money

Remuneration Code Follow-up

MiFID Review

Transaction Failings

INSIGHTS & EXPERTISE

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