19 September 2011 - Complyport UK Consultancy Service

Non-GABRIEL Paper Reports

From 19 September up to seven ‘new’ types of reports will be scheduled on GABRIEL. The reports on GABRIEL will actually be ‘Non-GABRIEL Paper’ (NGP) reports. Although at first sight […] [...]

Recovery and Resolution Plans

The FSA has published ‘Recovery and Resolution Plans’ (RRP) – CP11/16 – which will be of interest to banks, large investment firms and firms subject to either or both CASS […] [...]

Swift Decision

As may be recalled, under the Financial Services Act 2010 the FSA, in enforcement action cases, now has enhanced powers allowing it to publish decision notices before issuance of the […] [...]

UCITS IV

On 2 September the FSA published PS11/10 – ‘Transposition of the revised UCITS Directive’ – incorporating the various changes to the Handbook, mainly COLL, brought about as a result of […] [...]

The FSA has published consultative guidance covering the ‘Top questions asked at the Retail Distribution Review (RDR) roadshows’. The four page document contains 11 FAQs to ‘further clarify our rules […] [...]

Transaction Reporting Matters

Market Watch 40 (MW40), dedicated to transaction reporting issues, was published earlier this month, followed a few days later by FSA consultative guidance, which features two articles in MW40. Back […] [...]

Day: 19 September 2011

Non-GABRIEL Paper Reports

Recovery and Resolution Plans

Swift Decision

UCITS IV

Retail Distribution Review

Transaction Reporting Matters

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