Financial Services Authority (FSA)
EX-Dresdner Banker gets record jail sentence
The number of retail investors using ETFs is rising fast, boosted by regulatory initiatives such as the Retail Distribution Review and greater product knowledge among financial advisers.
This white paper looks at the heavy impact of regulation on investment managers, the mitigation of outsourcing risk, inefficiencies in corporate actions processing and the growing importance of collateral management.
More Financial Services Authority (FSA) articles
Treasury Committee warns against hasty reform
Influential parliamentary committee calls for Bank of England (BoE) executive directors’ votes to be transferred to external members, citing amount of power vested in central bank
Martin Wheatley has been named head of the UK's Consumer Protection and Markets Authority, one of the two bodies that will be created in 2012 to replace the FSA. See link below for extended interview.
UK FSA to get ‘intensive and intrusive’ on products
Responses to EU remuneration paper urge restraint
RBS, Natwest receive £2.8m fine for poor complaints handling
UK regulator fines Barclays Bank £7.7m for mis-selling funds
Coming of age
Firms have until July 1 to comply, but experts says they can reject "pernicious" parts of FSA regulations
FSA fines Aegon UK £2.8 million for multiple control failings
Gives guidance on advanced approaches
Sigor releases revamped sound practices paper
This whitepaper reviews the fundamental changes of Liquidity Risk Management under Basel III. It discusses how institutions can meet the regulatory requirements on liquidity risk management by enhancing their liquidity risk analytics, funds transfer pricing methodologies, liquidity stress testing frameworks, and enterprise risk management platforms.