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FSA Fine And Bank Upheld On UBS Advisers
[22 May 2012] - FSA Fine And Bank Upheld On UBS Advisers. A Financial Services Authority (FSA) decision to ban and fine 2 former UBS Advisers for their involvement in an unauthorised trading scheme has been upheld by the Upper Tribunal. Former head of the Asia II desk at UBS Sachin Karpe has been fined ... More...
Habib Bank £0.5m Money Laundering Controls Fine
[21 May 2012] - Habib Bank £0.5m Money Laundering Controls Fine. Habib Bank AG Zurich has been fine £525,000 and its former Money Laundering Reporting ... More...
Free 28 Page RDR Guide
[18 May 2012] - Free 28 Page RDR Guide. Our compliance experts and fellow IFAs and Chartered Financial Planners Joanne Roberts and Ashley Clark have ... More...
Ssshhh We Won An Award Tell No One - FSA
[17 May 2012] - Ssshhh We Won An Award Tell No One - FSA. Final guidance published by the Financial Services Authority (FSA) on financial ... More...
FSCS Lawyers Data Protection Breach
[16 May 2012] - FSCS Lawyers Data Protection Breach. A report in both FT Adviser ... More...
Solicitor IFAs Regulator Co-operation
[15 May 2012] - Solicitor IFAs Regulator Co-operation. A variety of regulatory bodies from the ... More...
MAS Pay Scale Review
[14 May 2012] - MAS Pay Scale Review. The Money Advice Service (MAS) is planning ... More...
FSA Draft Rules For Stress Test Planning
[11 May 2012] - FSA Draft Rules For Stress Test Planning. The Financial Services Authority ... More...
