7th December 2012

Compliancy Services eNewsletter

Joint distribution ventures could undermine RDR

The FSA has raised concerns that joint ventures between providers and advisers could undermine the objectives of the RDR; this is according to an article published in Money Marketing.

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European Market Infrastructure Regulation

David Lawton, FSA Director of Markets, speaking at the Tradetech Conference last month, outlined the desired outcomes of EMIR.

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FCA new proposals on Client Assets

At the recent seminar in London, Martin Wheatley, Managing Director of the FSA Conduct Business Unit spoke at the Markets and Client Assets Conference, giving his thoughts on the new regime for improving trust in the Client Assets and Market regulation in the new FCA.

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New client assets training course announced

Compliancy Services are pleased to announce their new Client Assets (CASS) training course. The course is aimed at all FSA regulated firms that hold client money or safeguard client assets and must follow the relevant rules. The FSA have stepped up their surveillance of firms holding client money significantly in recent years following a number of scandals at leading investment firms where client money was not properly protected.

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