Approved persons & significant influence functions (SIFs)
Intensive regulatory approach
Unregulated Collective Investment Schemes
Financial promotions COBS compliance
Wholesale Small Firms
Insufficient documentation
AML Review
Are rules effective and proportionate?
Online Notifications and applications (‘ONA’)
A applications and notifications submission to change
FSA and AML
Prosecution outside FSMA 2000
FSA and fraud
Poor controls and employee fraud
UK rules OK
Now top financial centre