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Results: 1-10 of 10

FSA makes new rules on close links, SCV and PIF prudential requirements

  • Dentons
  • -
  • 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
  • -
  • United Kingdom
  • -
  • October 9 2009

This quarter, FSA proposes minor changes to the following

JMLSG consults on guidance changes

  • Dentons
  • -
  • United Kingdom
  • -
  • September 25 2009

JMLSG has published more proposed changes to its Guidance, following its proposals of August

FOS publishes complaints data

  • Dentons
  • -
  • 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
  • -
  • 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FSA has withdrawn approval from Steven Moorley, the former CEO of a firm in liquidation, to carry on the CF3 and 8 functions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
  • -
  • United Kingdom
  • -
  • August 28 2009

FSA and OFT have published a joint guide to sponsored links

FSA consults on transparency and complaints data

  • Dentons
  • -
  • 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
  • -
  • 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

FSA bans firms

  • Dentons
  • -
  • United Kingdom
  • -
  • June 5 2009

FSA has banned three firms