06 May 2011 - Complyport UK Consultancy Service

Remuneration Code Guidance

The FSA has released consultative guidance on the Remuneration Code (the Code) including a useful FAQs document. Firms are reminded that despite the timing of this guidance, the Code came […] [...]

Remuneration Code Transitional Provisions

This article will only be relevant to proportionality tiers one and two firms and will not, for instance, impact on limited licence or limited activity firms. As a reminder, guidance […] [...]

Systems and Controls Questionnaire

As mentioned in Regulatory Roundup 22 the FSA introduced a new data item – FSA055 – which was to be completed by non-ILAS BIPRU firms (basically BIPRU limited licence/activity firms […] [...]

Unregulated Collective Investment Schemes

Evidence that the FSA’s interest in the marketing of unregulated collective investment schemes (UCIS) continues – see Regulatory Roundup 19 – in the form of a Final Notice issued to […] [...]

COLL & Qualifying Money Market Funds

Amendments are proposed to the Handbook including the Collective Investment Schemes sourcebook (COLL). The changes arise both from guidelines issued by, as it was then, CESR and consequential amendments under […] [...]

Online Invoicing

As some firms will be aware, following a pilot scheme the FSA is rolling out invitations to register for Online Invoicing which will allow firms to review their fees account […] [...]

Commentary on SEC Letter Dated 8 April

A letter from the US Securities and Exchanges Commission (‘SEC’) to the North American Securities Administrators Association, sent on 8 April, provides an indication that the SEC will look to […] [...]

Money Laundering & Overseas Jurisdictions

FATF has updated its list of jurisdictions which have strategic AML/CTF deficiencies (see Regulatory Roundup 23 for details of previous position) as well as updating its Public Statement on Iran […] [...]

Standing Data & Telephone Numbers

As mentioned in Regulatory Roundup 24, in addition to the annual standing data check required under SUP16.10.4 the FSA will require advance notice of any change in the telephone number […] [...]

Mobile Reminder

And whilst on the subject of telephone numbers, a reminder that the current exemption applicable to mobile phones ‘or other mobile handheld electronic communication device’ contained in COBS 11.8.6(1) falls […] [...]

Day: 6 May 2011

Remuneration Code Guidance

Remuneration Code Transitional Provisions

Systems and Controls Questionnaire

Unregulated Collective Investment Schemes

COLL & Qualifying Money Market Funds

Online Invoicing

Commentary on SEC Letter Dated 8 April

Money Laundering & Overseas Jurisdictions

Standing Data & Telephone Numbers

Mobile Reminder

INSIGHTS & EXPERTISE

NEWS & EVENTS

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Online Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

Webinar: Is Your AML Compliance Robust Enough?

Webinar: Consumer Duty – The Aftermath

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