Company: Financial Services Authority

213 results found

Breaches relate to pricing problems uncovered in a proprietary trader’s books

Measures aimed at rebuilding confidence among retail investors

Firms have 12 months to incorporate new test

Remuneration code comes into force for large banks, building societies and broker dealers on Jan. 1

FSA is the first major regulator to introduce tighter liquidity requirements for firms

FSA, SEC identify a common set of data to collect from hedge fund managers

Figures show how many complaints firms have received and how they have dealt with them

  • By: IE Staff
  • September 3, 2009 September 3, 2009
  • 10:18

Critics says new rules don’t go far enough

The FSA and the SEC are taking aim at compensation structures, especially those based on commissions

Firms lost unencrypted disks containing clients’ private information