Financial services authority (fsa)
FSA specialist takes over compliance at Axa IM
Murdoch joins London investment manager
Bank fined £4.2 million for failures in anti-money laundering controls
Min Park to retire from Credit Suisse; RBS loses head of equity derivatives and investor products; Barclays Wealth names interim CEO; Reyker Securities hires James Chu to head structured products; Klein...
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More Financial services authority (fsa) articles
UK insurers ‘must adapt to dual compliance burden’ as new regulators...
Firms braced for duplication of compliance work amid signs that framework for regulators to share information is not working, lawyers warn
Lloyd’s insurers challenged by internal model change policies
Questions on parameterisation remain unanswered by European rule-makers
AIFM Directive: investment managers ‘must prepare now’
Preparations must be made before AIFM Directive implemented on July 22, 2013
FSA announces final plans for Libor reform
Administrator forced to manage conflicts of interest
FSA director blasts BoE for failings in lead-up to financial crisis
Staff at the Bank of England were ill-equipped to deal with the crisis because they weren't working together, UK regulator tells convention
FSA secures 23rd insider dealing conviction
Former futures trader sentenced to four years in prison
FSA toughens insider dealing enforcement
Recent insider dealing prosecutions by the FSA have demonstrated a new regulatory commitment to pursue more complex cases. Financial institutions are under pressure to tighten up internal controls or face the bite of the watchdog
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How financial services need to consider their IT infrastructure
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