Financial Transaction Tax
Proposed Directive could have significant implications for EU financial institutions and those transacting with them
PFOF
Consultative Guidance on Payment for Order Flow
Mercurius
Multiple failings led to prohibitions and fines for CEO and Compliance Officer
FSA Action on Unregulated Collective Investment Schemes
Compliance officer fined following penalty on firm
Large Traders
New SEC rule for Large Traders of US exchange-listed securities
Transaction Reporting: Zen
Hard go-live’ date is 13 November at latest
CMAR & CF10a
CASS oversight function and reporting requirement in place since 1 October
Prompt Response
FSA impose large penalty on firm for inadequate arrangements to protect client assets
FSA Remuneration Code Guidance
Final guidance issued
Retail Distribution Review Implementation
14 months to go