Bribery Act Guidance
Clarifies certain aspects of the Act and provides useful examples including what could constitute ‘adequate procedures’
Delay To Controlled Functions Changes
FSA still updating ONA but remind firms that the delay is not a change of policy
Auditor’s Report
Changes made to improve quality of auditors’ reports on client assets
Client Money: FSA Action
Broker fined for client money failings
Suitability
FSA issues finalised guidance
FSA Business Plan 2011/12
Reduction of financial crime will remain a priority
Transaction Reporting
FSA propose amendments to reporting OTC derivatives
Prospectus Directive Changes
HMT consulting on prospectus requirements
FSA Data Items
FSA publishes amended guidance on completion of certain data forms