Exchange Traded Products
FSA issues factsheet on key features and risks
Corporate Governance: Hector Sants
Outgoing CEO sets out expectations for good corporate governance
Corporate Governance: Mitsui
Failings led to £3.345M financial penalty
Training and Competence
Proposed changes to TC include addition of 3 new ‘appropriate’ qualifications
Cold-Shouldering
Reminder for firms to make approved persons aware of cold-shouldering cases
Recovery and Resolution Plans Update
FSA issues Feedback Statement and FAQs
Currie Conflicts
FSA fines Martin Currie £3.5M for failing to properly manage a conflict of interest