Compound Growth

© Compound Growth Limited 2012-2017

• 19/12/2013:   Closing date for responses to CP 13/13
• 19/12/2013:   Final Notice: FCA fines JLT Speciality Limited £1,800,000 for unacceptable approach to bribery and corruption risks
• 17/12/2013:   Press Release: Tribunal bans former trader for lying to the FCA
• 17/12/2013:   Press Release: FCA bans four for disgraceful failings in relation to occupational pension schemes
• 16/12/2013:   PS 13/12: Mortgage Market Review - data reporting
• 13/12/2013:   PS 13/11: Changes to the Listing Rules
• 13/12/2013:   PS 13/10:CRD IV for Investment Firms
• 13/12/2013:   Press Release: FCA fines Porta Verde £25,000 for serious failings in appointed representatives sales practices
• 12/12/2013:   Press Release: FCA fines former B&B Group Finance Director £30,000 for failings ahead of 2008 rights issue
• 11/12/2013:   Press Release: FCA fines Lloyds Banking Group £28,038,800 for serious sales incentive failings
• 06/12/2013:   CP 13/18: Quarterly Consultation Paper number 3
• 03/12/2013:   Closing date for responses to CP 13/10
• 26/11/2013:   Press Release: FCA fines SEI Investments (Europe) Limited £900,200 for Client Money Breaches
• 25/11/2013:   CP 13/17: Use of dealing commission
• 24/11/2013:   Price comparison websites
• 18/11/2013:   CP 13/16: Competition in the market for services provided by a Recognised Investment Exchange
• 10/11/2013:   Closing date for responses to CP 13/12
• 06/11/2013:   Closing date for responses to the remainder of the consultation for CP 13/9
• 05/11/2013:   CP 13/15: Enhancing the effectiveness of the listing regime
• 04/11/2013:   TR 13/10: Outsourcing in the asset management industry
• 31/10/2013:   TR 13/9: AML & Anti Bribery and Corruption controls at asset management and platform firms
• 31/10/2013:   Cash savings market study
• 31/10/2013:   CP 13/14: Regulatory fees and levies: policy proposals for 2014/15
• 29/10/2013:   Press Release: FCA fines Rabobank £105,000,000 for serious LIBOR-related misconduct
• 24/10/2013:   CP 13/13: The FCA’s regulatory approach to crowdfunding (and similar activities)
• 23/10/2013:   GC 13/7: Changing customers to post RDR unit classes
• 18/10/2013:   Press release: FCA fines two financial advisers £885,000
• 16/10.2013:   FCA confirms foreign exchange market investigation
• 15/10/2013:   PS 13/9: Publishing information about enforcement notices
• 11/10/2013:   CP 13/5: Compound Growth Limited response to CP 13/5
• 10/10/2103:   TR 13/8: The governance of unit linked funds
• 10/10/2013:   CP 13/12: CRD IV for investment firms
• 08/10/2013:   GC 13/6: Primary Market Bulletin No. 7
• 08/10/2013:   FG 13/9: Primary Market Bulletin No. 7
• 08/10/2103:   FG 13/8: A guide for Self-Invested Personal Pensions (SIPP) operators
• 08/10/2013:   FS 13/2: Feedback to Chapter 4 of QCP 13/3
• 07/10/2013:   Press Release: FCA fines Timothy Roberts and Andrew Wilkins £550,000
• 04/10/2013:   Final Notice: FCA fines Alison Moran £20,000
• 03/10/2013:   CP 13/11: Financial Services Compensation Scheme - unincorporated associations and partnerships
• 03/10/2013:   CP 13/10: Detailed proposals for the FCA regime for consumer credit
• 27/09/2013:   Market study into SME banking
• 26/09/2013:   Press Release: Clydesdale Bank fined £8,900,000 for failing to treat customers fairly
• 25/09/2013:   Press Release: ICAP Europe Limited fined £14,000,000 for significant failings in relation to LIBOR
• 25/09/2013:   TR 13/7:  PPI complaints: report on the fairness of medium-sized firms’ decisions and redress
• 19/09/2013:   Press Release: JPMorgan Chase Bank fined £137,610,000 for serious failing relating to its Chief Investment Office’s “London Whale”
• 18/09/2013:   GC 13/5 - Supervising retail investment advice: inducements and conflicts of interest
• 15/09/2013:   EMIR - Risk management of non-cleared OTC derivatives through portfolio reconciliation, dispute resolution, trade compression
• 13/09/2013:   Final Notice: FCA fines AXA Wealth Services Ltd £1,802,200 for failing to ensure suitability of advice
• 08/09/2013:   EBA Consultation on diversified indices closes
• 06/09/2013:   CP 13/9: Quarterly Consultation Paper No. 2
• 04/09/2013:   FCA Data Strategy
• 03/09/2013:   Press Release: FCA fines Aberdeen Asset Managers £7,200,000 for failing to protect client money
• 30/08/2013:   PS 13/7: Consumer credit - interim permission fees
• 30/08/2013:   PS 13/8: Consumer credit - carrying across some secondary legislation
• 29/08/2013:   FG 13/7: Dealing Fairly with interest-only mortgage customers who risk being unable to repay their loan
• 28/08/2013:   CP 13/8: Arrangements for the disclosure of regulated information
• 28/08/2013:   CP 13/7: Changes to the Listing Rules resulting from new regulations being implemented by BIS
• 27/08/2013:   TR 13/6: Mobile banking and payments
• 22/08/2013:   FG 13/6: Market Operators’ oversight of member firm compliance with rules
• 20/08/2013:   FG 13/5: The use of the group exclusion and the CREST regulated activity
• 16/08/2013:   Press Release: FCA fines two individuals £28,000 each for failing to monitor promotion of Unregulated Collective Investment Schemes
• 09/08/2013:   Press Release: FCA fines Guaranty Trust Bank £525,000 for failures in anti-money-laundering controls
• 05/08/2013:   FS 13/1: Transparency - Feedback on DP 13/1
• 31/07/2013:   CP 13/6: Capital Requirements for Investment Firms
• 30/07/2013:   GC 13/4: Primary Market Bulletin number 6
• 30/07/2013:   FG 13/4: Primary Market Bulletin Number 2 and Primary Market Bulletin Number 5
• 25/07/2013:   TR 13/: Supervising retail investment advice: how firms are implementing the RDR
• 23/07/2013:   CP 13/5: Compound Growth Limited response to question 48
• 12/07/2013:   CP  13/5: Review of the client assets regime for investment businesses
• 12/07/2013:   FG 13/3: Code of Practice for the relationship between external auditor and the supervisor

2013 Regulatory News