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FSA makes new rules on close links, SCV and PIF prudential requirements
- Dentons
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- United Kingdom
- -
- November 13 2009
At FSA's Board Meeting on 5 November, it made several sets of key new rules
FSA publishes quarterly consultation
- Dentons
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- United Kingdom
- -
- October 9 2009
This quarter, FSA proposes minor changes to the following
JMLSG consults on guidance changes
- Dentons
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- United Kingdom
- -
- September 25 2009
JMLSG has published more proposed changes to its Guidance, following its proposals of August
FOS publishes complaints data
- Dentons
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- United Kingdom
- -
- September 18 2009
FOS has published the first set of individual complaints data, covering complaints it handled for the period January - June 2009
FSA withdraws director approval
- Dentons
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- United Kingdom
- -
- September 4 2009
FSA has withdrawn approval from Steven Moorley, the former CEO of a firm in liquidation, to carry on the CF3 and 8 functions
FSA and OFT publish sponsored links guide
- Dentons
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- United Kingdom
- -
- August 28 2009
FSA and OFT have published a joint guide to sponsored links
FSA consults on transparency and complaints data
- Dentons
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- United Kingdom
- -
- July 17 2009
Following FSA’s Discussion Paper last May on using transparency as a regulatory tool, publication of complaints data by specific firms and related issues, it has now given feedback and further proposals
Financial sanctions compliance: FSA on the warpath
- Dentons
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- United Kingdom
- -
- July 16 2009
Prevention of financial crime is high on the UK financial regulatory agenda
UK financial sanctions: the regime and the regulator
- Dentons
- -
- United Kingdom
- -
- June 12 2009
Compliance with financial sanctions has made its way up the UK financial regulatory agenda
Current Search
- Workarea - Capital Markets
- Workarea - Banking
- Author - Emma Radmore
- Author - Thomas Dunn
- Firm Name - Dentons