Remuneration: Further FSA Guidance
The FSA has released further consultative guidance on the Remuneration Code (see Regulatory Roundups 29 & 32 for previous guidance). The guidance, in the form of a ‘Dear CEO’ letter, […] [...]
The FSA has released further consultative guidance on the Remuneration Code (see Regulatory Roundups 29 & 32 for previous guidance). The guidance, in the form of a ‘Dear CEO’ letter, […] [...]
Firms that currently use the FSA’s Transaction Reporting System (TRS) to meet their SUP 17 obligations may be aware that the Regulator is planning to withdraw from this service. The […] [...]
The Retail Distribution Review (RDR) continues its progress (see Regulatory Roundup 32 for the most recent update) with the publication of PS11/9 ‘Platforms – Delivering the RDR and other issues […] [...]
Regulatory Roundup 23 contained details of the changes to CASS concerning title transfer collateral arrangements (TTCA). The FSA felt that some firms were using the then current TTCA provisions to […] [...]
The FSA conducts surveys on a six monthly basis (‘Hedge Fund Survey’ *HFS+ and ‘Hedge Fund as Counterparty Survey’ *HFACS+) in order to assess the systemic risk posed by hedge […] [...]
As has been widely reported, on 11 and 12 August, the respective securities market regulators of France, Italy, Spain and Belgium, in conjunction with the European Securities and Markets Authority […] [...]
The Regulatory Gateway for Financial Promotions is Here
Navigating KYC Challenges in 2024: Insights from the Q&A Session
Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024
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