InVest — January 2014: enforcement and financial crime - .PDF file.
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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