News Archive
Telephone and Electronic Communication Recording
For our bulletin (April 2008) summarising the FSA’s recent Policy Statement confirming plans to introduce the above, please click here.
More Principles Based Regulation
Article by Paul Grainger published in the ACCA’s journal, Financial Services Review, (March 2008). Reproduced through the kind permission of the Association of Chartered Certified Accountants, UK. Please click here.
Extension of the Common Platform to non-MiFID firms
For our paper (January 2008) on the FSA Consultation Paper containing proposals for extending the “common platform” to all firms that are not subject to the Markets in Financial Instruments Directive (MiFID) or the Capital Requirements Directive (CRD), please click here.
Capital Requirements for Financial Advisers and Planners
The FSA has published a Discussion Paper on the capital or prudential standards affecting financial advisers and planners in the UK. For more details on the recent FSA Discussion paper (DP07/4) please click here.
Proposed COB Regime Changes
For the latest on proposed changes to the conduct of business requirements, including non-MiFID matters and proposals for telephone recording please click here.
MiFID
Find all the latest on MiFID implementation and other MiFID matters please click here.
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Grainger Consulting, Quantum House, 32 Mellor Road, Cheadle Hulme, Cheshire, SK8 5AU, United Kingdom
Phone 0161 486 1000
E-mail cheadle@compliance.co.uk
