Changes to Dealing Commission Rules
The FCA publishes Policy Statement PS14/7 containing feedback on previous proposals together with the final rules
Submission of Annual Accounts
FCA proposes automating the submission of annual reports and accounts through GABRIEL
Country by Country Reporting
A reminder to CRD IV firms of the 1 July deadline in respect of the first ‘Country by Country’ disclosure
Non-GABRIEL Paper (NGP) Reports
FCA reminder on use of templates for close links and controllers reports
Digital Financial Promotions
Clive Gordon of the FSA explains that the promotion rules are media-neutral, adding “digital media is on our radar”
CASS Update
FSA consulting on changes to firm classification and oversight and mandates
Soliciting in the US
Proposed lifting of ban on general solicitation for certain securities offerings
Takeover Code Changes
Takeover Panel proposes to remove residency test
Training and Competence
Proposed changes to TC include addition of 3 new ‘appropriate’ qualifications
Non-Executive Directors
FSA consultative guidance sets out the Regulator’s expectations for NEDs