PFOF
Consultative Guidance on Payment for Order Flow
Recovery and Resolution Plans
New proposed requirements for banks, large investment firms and firms subject to certain CASS rules
Swift Decision
FSA publishes decision notice for firm engaged in market abuse
Hedge Funds and Systemic Risk
Hedge Funds and Systemic Risk: Latest findings from HFS and HFACS
Unregulated Collective Investment Schemes
Two more Final Notices remind us of the FSA’s focus on advising on and promoting UCIS
The Approach of the FCA
FSA paper indicates greater focus on wholesale conduct, enforcement and intervention under new regime
FSA Annual Report
The Regulator met 37 of its 41 milestones in the period
Controlled Function CF10a
Further application details available
FSA Performance
Results on performance and service standards published
Cold-shouldering
Dear Compliance Officer letter received by some firms