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News And Insights

  • Regulatory Update

Conduct Risk Outlook 2012

Risk areas include promotion of UCIS and Host ACDs
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  • Regulatory Update

FSCS Changes

Proposals include changes to eligibility criteria
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  • Regulatory Update

CASS Resolution Pack

New Rules for firms that hold client money and / or assets
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  • Regulatory Update

New Legal Forms of Authorised CIS

Proposal to create new authorised contractual scheme
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  • Regulatory Update

Non-Executive Directors

FSA consultative guidance sets out the Regulator's expectations for NEDs
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  • Regulatory Update

Transaction Reporting

Final guidance issued by FSA covering exemptions and issues such as over-reporting and non-reportable instruments
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