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General Regulatory Developments
- CASS NAV - FSA requires resolution packs to lead them to the location of client money
- Reduced to clear: the implications of EMIR and Dodd-Frank for asset managers dealing in OTC derivatives
- The relevance paradigm…a preview of 2012’s regulatory landscape
- The IMS Group's Regulatory Forum - 25th January 2012
- Out on a wire: when do asset managers need to record mobile phone communications?
- “Tougher, bolder and more engaged”: the approach of the Financial Conduct Authority
- Caveat Venditor ‘Let the Seller Beware’: FSA publishes findings of “suitability” review of wealth management firms
- UK financial regulation reform: Draft Bill and White paper published
- IMS' regulatory outlook and timeline for 2011
- UK Stewardship Code - disclosure required by asset managers
- Preparing for the Parent Trap: the application of the FSA's enhanced Approved Persons' regime to smaller firms
- Client assets - new FSA rules for 2011
- New European System of Financial Supervisors
- UK Bribery Act 2010
- FSA issues guidance on leaks
- More expected of more: FSA extends approved persons regime and outlines a broader skillset required of senior management
- Judgement, focus and stability - the FSA makes way for the PRA and the CPMA
- UK Financial Regulation Reform Update; A statement to the House of Commons. The FSA to become CPMA, plus FPC, plus PRA
- The road from N2 to N3: Financial Services Authority to be abolished in restructuring of the UK regulatory system
- Hedge Fund Managers flock to "reporting fund status"
- IMS review of 2009 and outlook for 2010
- Fee and Easy: FSA proposes new fees and levies for 2010/11
- Should you be registered? FSA extends its reach to overseas senior management
- FSA regulatory fees and levies for 2009/10: An IMS guide
- EU moves the regulatory goal posts for Alternative Managers: Prepare for the UK Versus Europe
- Be afraid, be very afraid?
- Regulatory round up of what's coming up in 2009!
- ICAAP in hand?
- European Commission proposes exemption to large exposure regime, October 2008
- FSA Financial Crimes Perception Research: March 2008
- FSA Fee Increases for 2008-9
- FSA Outlines Keys Financial Risks and its Business Plan
- FSA Consults on Greater CfD Disclosure
- Feedback on Trading Transparency in the UK Secondary Bond Market:July 2006
- IA Compliance Speech: April 2006
