Transaction Reporting Problems
Firms are still having issues with transaction reporting
Other FSA Fines
FSA fines to date in 2010 are up to £14.3m
FINMAR
A new financial stability objective for the FSA
Transaction Reporting
The FSA hit with a vengeance when it fined three big name firms a total of £4.2m for transaction reporting failures
Financial Services Bill 2010
A new financial stability objective for the FSA
The Future of the Fund Management Industry
Dan Waters gave a speech
The Financial Services Bill
A new financial stability objective for the FSA
CASS Consultation Paper
FSA release CP 10/9
FAIF
Indirect marketing to retail clients
Financial penalty setting
A consistent and transparent framework