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News And Insights

  • Regulatory Update

Client Money: FSA Action

Broker fined for client money failings
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  • Regulatory Update

Auditor’s Report

Changes made to improve quality of auditors' reports on client assets
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  • Regulatory Update

Delay To Controlled Functions Changes

FSA still updating ONA but remind firms that the delay is not a change of
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  • Regulatory Update

Bribery Act Guidance

Clarifies certain aspects of the Act and provides useful examples including what could constitute 'adequate
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  • Regulatory Update

FSA003

Guidance on lines 142 and 143 in relation to capital planning buffers
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  • Regulatory Update

Hedge Funds and Systemic Risk

FSA report reveals latest HFS and HFACS survey results including average returns, portfolio liquidity and
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