Compliance Officer: FSA Action
Final Notice for individual issued
FSA Fees
Policy Statement issued
Online Invoicing
FSA inviting firms to register for Online Invoicing
Unregulated Collective Investment Schemes
Final Notice issued to firm for failures relating to marketing of UCIS
Delay To Controlled Functions Changes
FSA still updating ONA but remind firms that the delay is not a change of policy
Client Money: FSA Action
Broker fined for client money failings
More on FSA Reform
HMT consultation provides further detail on proposals for regulatory reform
FSA Reform (1) – New Appointment
Ex-Hong Kong regulator Martin Wheatley appointed to lead CPMA
FSA Reform (2) – Possible Delay
Doubts raised by Treasury Select Committee concerning achievability of transition to new regulatory structure by 2012
FSA Reform (3) – Progress
Dear CEO’ letter from FSA informs firms of progress towards transition to new structure