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In Board Notice 450, the SFA announced a number of minor changes to
its rules which apply to all ISD and non-ISD firms which are
In SFA Briefing 17, the SFA warned that it has received an
increasing number of complaints from firms who have suffered when
leaving staff have removed...
In September 1997, the (then) SIB issued Consultative Paper 111
which sought views on proposals to simplify the rules relating to
The FSA has announced a number of further appointments at board and
just below board level.
Most importantly to the legal and compliance side of the...
The Commission is said to be heavily involved working on a first
draft of the Distance Selling Directive. Whilst the contents of the
directive have not...
Stockborrowing is the process whereby one party "borrows"
securities from another party for a period and provides that other
party with collateral in...
What is the Year 2000 Problem?
By now most people are aware that there is a "Year 2000" or
"Millennium" problem, which exists because many software...
In Regulatory Update 42, the PIA has introduced the
rule changes which it had previously been considering introducing
in relation to pension transfer...
This year, the PIA Consumer Panel's 80 page annual review is more
important than usual for two reasons. First, 1997 was a year in
which their work in...
Following SIB Consultative Paper 112, entitled "Limit on
Compensation Costs" which proposed to raise the limits which the
ICS could pay in any one year...
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