Reform of Approved Persons Regime
Consultation Paper addresses approach for dual regulated firms and extension of the application of APER
Digital Financial Promotions
Clive Gordon of the FSA explains that the promotion rules are media-neutral, adding “digital media is on our radar”
The Journey Ahead
New publication sets out the FCA’s approach to regulation from ‘Day One’
Transactions Actions
Stockbroker and CFD trading platform firm fined for transaction reporting failures
Fees and Levies
FSA annual consultation on fee rates and levies
MiFID II Progress
European Parliament adopts amended draft leading to possible two tier approach to banning of commission payments
Financial Crime Update
FSA warns that next round of thematic reviews will cover AML and ABC systems and controls in asset management firms
Short Selling Disclosures and Notifications Update
New rules come into force