Transaction Reporting Changes
Transaction Reporting Changes: Planned withdrawal of TRS service
Submissions to FSA
Two recent complaints against the FSA were upheld in the Regulator’s favour
Prospectus Directive Update
Prospectus threshold and the ‘investors’ threshold will be raised
FSA and Financial Promotions
FSA releases two further publications on ‘financial promotions’
Quarterly Consultation
Proposed changes to the Handbook including greater clarity on ‘Fair, clear and not misleading communications’
Zen and the Art of Transaction Reporting
New system to impact on firms’ transaction reporting
Derivative Transaction Reporting
New guidance on reporting of on-exchange derivatives
Client Money & CMAR: Important Changes
Important changes announced
Decisions, Decisions
FSA publishes first two decision notices
Systems and Controls Questionnaire
Proposed changes to clarify reporting requirements