Compliance News and Updates for the Industry

FSA Compliance News - What Exactly Affects You - Cutting Through the Blurb

All the latest compliance news, regulatory updates and other matters that we believe are relevant to intermediaries, brokers and financial services professionals.


FSA Visit Countdown Campaign:  Getting ready for your FSA visit:  Increased small firm visits

FSA Visit Countdown Campaign - ComplaintsFSA Visit Countdown 1: Analysis and Tips for Avoiding Complaints

Unfair Contract Terms - Helping You See ClearlyFSA Visit Countdown 2: Unfair Contract Terms Tips and Analysis

Compliance Monitoring PlansFSA Visit Countdown 3: Compliance Monitoring Plans

Compliance Monitoring ReportsFSA Visit Countdown 4: Compliance Monitoring Reports


Other Crucial News and Updates:

FOS Propose Fee IncreaseFOS Propose Fee Increase

Protect your client dataAre You Protecting Client Data?

 Finding your way around the FSA rulesControlled Function Confusion

 IDDs are still with usIDDs Are Still Required Post MiFID

 Check the register post MiFIDYour MiFID Status - Check the FSA Register

 You must update your complaints handling proceduresComplaints Handling Procedures - You Must Update for MiFID

 They don't come in peaceFSA does not come in Peace - Take TCF Seriously or Face the Penalty 

 MiFID and EuropeAll Change for MiFID: 8 MiFID Actions Points

 They come in peaceThey Come in Peace: FSA Increases Small Firms Contact

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