FSA Fines – a Better Use of Money
Discount on FSA fees under threat?
Stewardship Code Changes
FRC aims to improve clarity over certain terms
Regulatory Fees and Levies for 2012/13
FSA’s overall Annual Funding Requirement to increase by 11.9%
UCIS Marketing Woes
FSA fines director £60k for failings in relation to promotion of UCIS and prohibits him from continuing as an approved person
Prospectus & Transparency Update
FSA and HM Treasury publish near-final rules which will result in changes to the PR and DTR modules of the FSA Handbook
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
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