13 June 2012 - Complyport UK Consultancy Service

Regulatory Fees and Levies for 2012/13

The Complyport Regulatory Alert of 3 February contained details of the FSA’s proposals on fees and levies for 2012/13. The alert advised that the final fees and levies would not […] [...]

UCIS Marketing Woes

Regular readers of the FSA’s website will be aware of its continuing interest in unregulated collective investment schemes (UCIS) e.g. they feature in the FSA’s Conduct Risk Outlook 2012 in […] [...]

Prospectus & Transparency Update

Regulatory Roundup 37 included details of the joint HM Treasury and FSA Consultation Paper (CP11/28) concerning the changes that need to be brought about to the Prospectus (PR) and Transparency […] [...]

Money Laundering Failings

Following the FSA action taken against Coutts & Company in March for money laundering failings, the FSA has fined a further firm for such issues. Habib Bank AG Zurich (Habib), […] [...]

Cookies

Although not an FSA regulatory matter, this is a reminder to firms that operate websites that ‘new’, EU based, legislation has started to bite since the end of May – […] [...]

Day: 13 June 2012

Regulatory Fees and Levies for 2012/13

UCIS Marketing Woes

Prospectus & Transparency Update

Money Laundering Failings

Cookies

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