Complyport Wins Thomson Reuters Award
Firm received ‘Best Consulting Firm of the Year’ accolade in the 8th Annual Compliance Awards ceremony
Reform of Approved Persons Regime
Consultation Paper addresses approach for dual regulated firms and extension of the application of APER
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
Regulatory Reform
FSA consultation paper on procedural and Handbook changes which firms may wish to note
Supervision under the FCA
Shift from a proactive to a forward-looking regulator
New Restrictions on UCIS
FSA proposes amendments to COBS 4.12 reducing the categories of investors to whom firms can promote unregulated collective investment schemes
Hedge Funds and Systemic Risk
FSA report assesses the possible sources of systemic risk from hedge funds
FSA Annual Report 2011/12
Client Money and Assets and UCIS discussed