Compliance
Compliance
The Financial Services Authority recently published its proposals for a radical move to principles-based regulation. What will this mean for the industry and what are the pitfalls?
01 December 2006
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Compliance
The FSA may have helped out small firms during its first year as regulator, but those same firms had better start complying - or face the consequences, Andrew Honey tells Johanna Gornitzki
01 April 2006
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Your profession
Financial services firms are being urged to start planning for the implementation of MiFID on the basis of Level 2 documentation already published, rather than wait for finalisation of the FSA's consultation on MiFID implementation expected later this...
16 March 2006
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Protection
Thousands of intermediaries and hundreds of insurers may have to rewrite their Terms of Business Agreements (TOBAs) because of a lack of clarity from the Financial Services Authority (FSA) over client money rules, a City law firm has warned.
20 January 2006
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