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FSA has banned: a sole trader who was convicted of money laundering; a firm that had not carried on any regulated activity for one year; and a firm that had not paid fees
FSA's latest quarterly consultation proposes changes to BIPRU to allow IRB institutions more flexibility in estimating the maturity of trade finance facilities and, separately, to extend capital floors
The latest questions on the MiFID website cover: the appropriateness test in respect of complex products and simplified prospectuses; and what is a "relevant person" acting on behalf of a client
