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  • FCA: Appointment

    29/04/2013
    Sue Lewis has been appointed the new chairman of FSCP, with effect from 1 July 2013. She is currently the Consumer... Advocate Member on the Chartered Insurance Institute’s Professional Standards Board, amongst other appointments.
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  • FCA: Handbook Notice 1

    29/04/2013
    Further to last Friday’s news update, FCA has now published its Handbook Notice which sets out details of the Instruments passed... at FCA’s April board meeting. The document also includes provisional dates of future FCA board meetings.
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  • FCA: Policy Development Update 1

    29/04/2013
    This provides information about recently issued publications and an updated timetable for forthcoming publications.
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  • FCA: Unauthorised investment scheme

    29/04/2013
    FCA has announced that it has charged two named individuals with a total of ten offences relating to an unauthorised investment... scheme they promoted and operated. The scheme purported to carry out FOREX trading for the benefit of investors and is believed to have taken over £5m from investors
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  • FRC: Speech by Stephen Haddrill: Enhancing trust in European companies, improving investor confidence and facilitating long-term shareholder engagement (22 April 2013)

    29/04/2013
    Text of the above, given at an event in Brussels, follows in which Stephen Haddrill discusses corporate governance and stewardship; audit... and accounting standards.
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  • Final Notices: Douglas Jones/Derek Jones

    29/04/2013
    FCA has issued prohibition orders against these two individuals, father and son directors at Which Mortgage Limited in Glasgow, on the... grounds of failing to act with due skill, care and diligence by failing to ensure that the firm had appropriate controls to verify information submitted by clients to support mortgage applications which led to the firm being used to facilitate financial crime, through the submission of false payslips to high street lenders. Douglas Jones, who was also CEO at the firm, was fined £13,300. In addition to the above, FCA notes that he dishonestly altered certain historic client files after concerns had been raised by a lender and the regulator in an attempt to mislead FSA/FCA as to the controls within the firm when mortgage the applications were submitted. Derek Jones would have been fined £11,200 had he not produced evidence that such a fine would cause him serious financial hardship. It is noted that Derek Jones resigned in May 2012 and subsequently left the financial services industry.
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  • BIS: Structural bank regulation initiatives: approaches and implications

    26/04/2013
    This paper considers the basic rationale and features of the proposals adopted to separate specific investment and commercial banking activities (Volcker... rule, Vickers and Liikanen proposals). In particular, it focuses on the likely implications of such initiatives for: financial stability and systemic risk; banks' business models; and (iii) the international activities of global banks.
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  • EC: Consumer protection in third-pillar retirement products

    26/04/2013
    The purpose of this consultation is to identify the specific problems encountered by consumers in third-pillar retirement products and whether voluntary... codes coordinated at the EU level or certification schemes could improve consumer protection. The results of the consultation will be taken into account in a broader initiative aimed at developing a single market for personal pension schemes. It is also noted that they will provide material for developing measures and initiatives on the basis of the MiFID and IMD reviews and the PRIPs proposal, as discussed in the document. Responses are required by 19 July 2013.
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  • EC: OTC derivatives regulators group

    26/04/2013
    This is a report provided to the G20 finance ministers’ meeting of 18-20 April 2013. It is noted that four... meetings have been held between principals of the authorities with responsibility for the regulation of the OTC derivatives markets in Australia, Brazil, the EU, Hong Kong, Japan, Ontario, Quebec, Singapore, Switzerland and the US and goes on to outline details of progress and agreement reached on various specific matters, including scope of regulation for cross-border compliance; regulatory gaps and the provision of data between regulators.
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  • FCA Instruments

    26/04/2013
    At its Board meeting on 25 April 2013, FCA passed the Conduct of Business Sourcebook (Platforms) (Amendment) Instrument 2013/42.
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