Currie Conflicts
FSA fines Martin Currie £3.5M for failing to properly manage a conflict of interest
Transaction Reporting
Final guidance issued by FSA covering exemptions and issues such as over-reporting and non-reportable instruments
New Legal Forms of Authorised CIS
Proposal to create new authorised contractual scheme
CASS Resolution Pack
New Rules for firms that hold client money and / or assets
Conduct Risk Outlook 2012
Risk areas include promotion of UCIS and Host ACDs
FSA Business Plan 2012/13
Areas of focus will include client money and assets and transaction reporting
FSA Fees: Tariff Base Changes Update
Enhanced guidance on calculating fees
Client Money: Auditor Failings
PwC fined £1.4M
CICA
Final Notice issued to firm
Fine End To The Year
Total penalties down from 2010 to £66.14M