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FSA bans compliance officer for client money failings
  • Dentons
  • United Kingdom
  • May 20 2011

FSA has fined the former CF10 (compliance oversight) function holder at ActivTrades and banned him from performing the CF10 function in future.


BBA responds on CMAR implementation
  • Dentons
  • United Kingdom
  • April 15 2011

BBA has responded to FSA's proposals for implementing the Client Money and Asset Return (CMAR) for large and medium-sized firms.


FSA makes auditors' report rules
  • Dentons
  • United Kingdom
  • April 1 2011

FSA has made its final rules on auditors' client money reports.


FSA fines for client money failings
  • Dentons
  • United Kingdom
  • March 18 2011

FSA has fined a foreign exchange broker £85,750 for failing to ensure client money was properly segregated.


FSA fines analyst for misleading information
  • Dentons
  • United Kingdom
  • January 21 2011

FSA has fined a former research analyst £50,000 for sending an inaccurate message about a company to clients, colleagues and a journalist.


FSA warns of client asset email
  • Dentons
  • United Kingdom
  • December 23 2010

FSA plans to email small firms whose permissions include safeguarding and administration without arranging, or which have authority to hold client money, during the first week of January.


FSA publishes insurance newsletter
  • Dentons
  • United Kingdom
  • October 8 2010

The latest edition of FSA's newsletter for smaller wholesale insurance intermediaries covers amongst other items: completing the Retail Mediation Activities Return; adequacy of resources; undertaking controlled functions without approval; supervision of appointed representatives; and client assets and money enforcement cases.