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Insurance intermediary client money rules
- RPC
- -
- United Kingdom
- -
- October 22 2012
In late August the FSA released a consultation paper (CP 1220) proposing amendments to its handbook rules on client money handling by insurance intermediaries (CASS 5
AABA increased fines for firms
- RPC
- -
- United Kingdom
- -
- June 1 2012
Accountants and actuaries could soon face significantly tougher fines and sanctions from disciplinary investigations carried out by their public watchdog, the Accountancy and Actuarial Discipline Board which is the independent disciplinary board for accountants and actuaries
First it was insurance brokers and now it’s investment bankers FSA tests anti-bribery and corruption controls at investment banks
- RPC
- -
- United Kingdom
- -
- April 13 2012
The FSA recently published the findings of its thematic review of anti-bribery and corruption (ABC) systems and controls at 15 investment banks
FRC plans to focus on disciplinary action
- RPC
- -
- United Kingdom
- -
- March 8 2012
The FRC has published its Draft Plan & Budget for 201213
Leading regulatory and corporate crime silk to lead the AADB
- RPC
- -
- United Kingdom
- -
- March 1 2012
Yesterday the FRC announced the appointment of Gareth Rees QC to the position of Executive Counsel to the Accountancy and Actuarial Discipline Board (AADB
Real estate regulatory alert
- RPC
- -
- United Kingdom
- -
- January 11 2012
The recent OFT Code of Practice on the conduct of its Anti Money Laundering (AML) visits is a timely reminder to agents that not only are you obliged to comply with the Money Laundering Regulations 2007 (the Regulations) but also that you may be subject to inspection by the OFT in relation to your level of compliance, and that there are both civil and criminal sanctions for noncompliance
Lloyd's confirms that there is no movement in the Solvency II timetable
- RPC
- -
- United Kingdom
- -
- October 18 2011
For the avoidance of any doubt Lloyd’s confirmed (yesterday) that the current timetable for both managing agents and Lloyd’s still applies
Women wanted: FRC and ABI want greater diversity on boards
- RPC
- -
- United Kingdom
- -
- October 17 2011
Just 14 per cent of directors executive and non-executive of Britain’s 100 biggest companies are women
UK self-assesses anti-bribery controls as part of UN review
- RPC
- -
- Global, United Kingdom
- -
- October 13 2011
The UK has now published a self-assessment of its anti-bribery controls as part of a UN review intended to evaluate the UK’s compliance with its obligations as a signatory to the UN Convention against Corruption
Morrison fined by the FSA
- RPC
- -
- United Kingdom
- -
- August 25 2011
At first sight, headlines about a hefty fine meted out by the FSA on a former director of a supermarket chain may have led people to presume that Sir Ken Morrison had incurred the wrath of the Food Standards Agency rather than the Financial Service Authority
Current Search
- Jurisdiction - United Kingdom
- Author - Richard Burger