Financial Transaction Tax

Proposed Directive could have significant implications for EU financial institutions and those transacting with them

FSA Remuneration Code Guidance

Final guidance issued

FSA impose large penalty on firm for inadequate arrangements to protect client assets

CASS oversight function and reporting requirement in place since 1 October

Hard go-live’ date is 13 November at latest

New SEC rule for Large Traders of US exchange-listed securities

Compliance officer fined following penalty on firm

Multiple failings led to prohibitions and fines for CEO and Compliance Officer

Consultative Guidance on Payment for Order Flow

14 months to go