Compliance News
Compliance Training in West Yorkshire
Financial Compliance: Hector Sants New Approach
Delivering the right regulatory framework
Submitted by Speech by Sheila Nicoll Association of Luxembourg Funds Industry (ALFI) 25th March 2010 on Wednesday 31st March 2010
Regulatory Compliance
FSA warns small firms considering using consolidation business
Submitted by {FSA} on Tuesday 20th October 2009
Current financial stability
The current financial stability regime is a "disaster"
Submitted by {FOR-PMI Ltd} on Tuesday 2nd June 2009
Common Platforms
With effect from 1 April 2009, the FSA extended the 'common platform' requirements to firms who are not currently subject to them i.e. 'non MiFID' firms.
Submitted by {Douglas Martin Associates} on Monday 11th May 2009