Complyport News
We are pleased to announce a new CEO and other appointments
Suspicious Activity Reports
Guidelines introduced on submission of SARs
Dealing Commission Rules
FCA consultation paper on uses of dealing commission published
FCA Fees
Annual consultation paper published by FCA
Outsourcing Working Group
Group published response to FCA thematic report
Outsourcing & Asset Management
FCA thematic review focussed on Oversight Risk and Resilience Risk
Close Links and Controllers Reports
FCA proposing new Data forms to be submitted via GABRIEL
UCIS: FCA Actions
Recent sanctions and reminder of new rules in 2014
FCA Supervision Approach
Increased use of thematic reviews a possibility
Transaction Reporting Problems
RBS becomes latest big name to receive a fine for transaction reporting failings