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News And Insights

  • Regulatory Update

Financial Crime Guide

New guidance on financial crime includes reference to new Bribery Act
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  • Regulatory Update

Quarterly Consultation

Proposed changes to the Handbook including greater clarity on 'Fair, clear and not misleading communications'
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  • Regulatory Update

The Approach of the FCA

FSA paper indicates greater focus on wholesale conduct, enforcement and intervention under new regime
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  • Regulatory Update

Dear CEO: Suitability

Findings of FSA review highlight weaknesses among firms in assessing suitability, including inadequate client classification
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  • Regulatory Update

FSA Fees

Policy Statement issued
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  • Regulatory Update

Compliance Officer: FSA Action

Final Notice for individual issued
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