FSA Reform (1) – New Appointment
It has been announced that Martin Wheatley is to be the CEO of the Consumer Protection and Markets Authority (CPMA). Mr Wheatley, who was previously the CEO of the Hong […] [...]
It has been announced that Martin Wheatley is to be the CEO of the Consumer Protection and Markets Authority (CPMA). Mr Wheatley, who was previously the CEO of the Hong […] [...]
The Treasury Select Committee, which is looking at the reform of financial regulation, has published, in three volumes, a report which contains some interesting comments questioning the achievability (or wisdom) […] [...]
Putting the possibility of any delays to one side, the FSA is sending out a ‘Dear CEO’ letter from Hector Sants providing a progress update on the transition to the […] [...]
And talking of delays, there have been various reports in the press of a delay to the Bribery Act 2010 (‘BA2010’) coming into force (although there is currently no official […] [...]
It’s that time of the year again when the FSA publishes proposals for the level of FSA fees payable for the year (the FSA year runs from 1 April to […] [...]
As mentioned in the previous article, CP11/2 contains a summary business plan for 2011/12. Traditionally the FSA issues an annual Financial Risk Outlook (FRO) late January/early February – although last […] [...]
The FSA has issued a guidance consultation/feedback on governance. Although it is headed ‘Governance in retail firms’ the content is also relevant to wholesale firms. The feedback stems from a […] [...]
In June of last year Vantage Capital Markets LLP (VCM), an inter-dealer broker, was subject to a fine of £700K arising from the activities of Daniel Hassell. Mr Hassell’s former […] [...]
Regulatory Roundup 23 contained an article on changes to CASS and the need for affected firms to complete a Client Money and Asset Return (CMAR). The FSA has released CP11/4 […] [...]
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