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 […] [...]

Amongst the 15 broad risk categories set out in the FSA’s ‘Conduct Risk Outlook 2012’ (see Regulatory Roundup 39 for a link to this document) are Exchange Traded Products (ETPs), […] [...]

Around this time last year the FSA sent out a ‘Dear Compliance Officer’ letter concerning the ‘cold-shouldering’ imposed on three individuals by the Panel on Takeovers and Mergers (see Regulatory […] [...]

The FSA’s consultation paper CP11/21 ‘Regulatory fees and levies: Policy proposals for 2012/12’ was covered in Regulatory Roundup 36. The consultation paper included changes to the tariff base for ‘Advisory […] [...]

The tenth annual analysis of activity in energy markets is now on the FSA’s web site. The paper covers the 12 months to 31 July 2011 and is based upon […] [...]

A recently published FSA Newsletter contained an article on recent observations from ARROW risk assessments. Although the Newsletter is targeted at ‘smaller wholesale insurance intermediaries’ the observations can be equally […] [...]

Details of the FSA’s consultative guidance on the practice of ‘payment for order flow’ (PFOF) was included in Regulatory Roundup 35. The deadline for responses was November 9 but given […] [...]

Firms that submit a Retail Mediation Activities Return should be aware that the changes to section A (Balance sheet) that were due to come into force this 31 December will […] [...]

The FSA has issued consultative guidance on the practice of ‘payment for order flow’ (PFOF). PFOF is an arrangement whereby a broker receives payment, either in cash or other form, […] [...]