InVest — January 2014: enforcement and financial crime

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This month’s round-up of developments affecting banks, wealth managers, brokers and funds sees a new spotlight article on outsourcing by asset managers; the EU open its summit with a landmark bank deal; the Banking Reform Act receive royal assent; and the Volker Rule finalised.

Contents: enforcement and financial crime

  • Plans to suspend individuals during enforcement cases blocked by MPs
  • Trialogue agreement on proposed CSMAD
  • FCA action over insider dealing
  • FCA final notice issued to regulatory consultancy
  • FCA tells advisers it still has work to do
  • FCA publishes final notice to advisory firm

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