Transaction Reporting
Final guidance issued by FSA covering exemptions and issues such as over-reporting and non-reportable instruments
Financial Promotions
Guidance issued on fund performance and image advertising
Financial Crime
Consultative guidance published by FSA following bribery thematic review
FSA Business Plan 2012/13
Areas of focus will include client money and assets and transaction reporting
Conduct Risk Outlook 2012
Risk areas include promotion of UCIS and Host ACDs
FSCS Changes
Proposals include changes to eligibility criteria
CASS Resolution Pack
New Rules for firms that hold client money and / or assets
New Legal Forms of Authorised CIS
Proposal to create new authorised contractual scheme
Non-Executive Directors
FSA consultative guidance sets out the Regulator’s expectations for NEDs
FSA Fees: Tariff Base Changes Update
Enhanced guidance on calculating fees