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Here to help with Regulation and Compliance
What’s New: Client Money & Client Assets
Developments in UK Financial Services Regulation
Client Money & Client Assets - Updates & Relevant News:
- 23/10/2017: Press Release: FCA bans debt management couple for misappropriating client money
- 24/04/2017: Closing date for comments on CP17/2 (CASS: All proposals except those in relation to EMIR and MiFIR RTS)
- 07/04/2017: Press Release: FCA bans and fines two individuals for market abuse
- 23/02/2017: Closing date for comments on CP17/2 (CASS: EMIR and MiFIR RTS proposals)
- 23/01/2017: CP17/2: CASS 7A and the special administration regime review
- 05/10/2016: FCA Press Release: FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings
- 16/08/2016: FCA Statement: Consultation Paper 12/20: Review of the client money rules for insurance intermediaries
- 09/05/2016: Closing date for comments to DP 16/2 (CASS 7A and the Special Administration Review)
- 09/03/2016: DP16/2: CASS 7A and the Special Administration Regime Review
- 21/01/2016: CP 16/4: Loan-based crowdfunding platforms and segregation of client money
- 01/06/2015: CASS Rules: Third & Final Stage of changes to Client Money Rules takes effect
- 15/04/2015: Final Notice: The Bank of New York Mellon London Branch fined for breaches of PRIN 10 and CASS related to client assets
- 30/03/2015: UKLA TN 404.1: Related Party Transactions by close-ended investment funds. Amendment of an existing IMA to cover new money.
- 19/03/2015: Final Notice: Alberto Micalizzi prohibition & fine for breaches of APER 1 related to client money/assets and lack of fitness/propriety
- 06/03/2015: CP 15/8: Quarterly Consultation Paper No.8 - Amends to CASS and CONC; Remuneration Reporting; Changes for AIFMs & depositaries
- 18/02/2015: TR 15/1: Asset management firms and the risk of market abuse
- 09/10/2014: Press Release: Pritchard Stockbrokers would have been fined £4,932,600 for recklessly failing to protect client assets
- 09/10/2014: Press Release: David Welsby would have been fined £50,400 for failing to provide adequate protection of client assets at Pritchard
- 09/10/2014: Press Release: David Gillespie would have been fined £100,800 for failing to provide adequate protection of client assets at Pritchard
- 01/07/2014: PS 14/10: Client money held in Individual Savings Accounts and feedback to CP 14/9
- 11/06/2014: CP 14/9: Client money help in ISAs
- 10/06/2014: PS 14/9: Review of the client assets regime for investment business
- 26/11/2013: Press Release: FCA fines SEI Investments (Europe) Limited £900,200 for Client Money Breaches
- 03/09/2013: Press Release: FCA fines Aberdeen Asset Managers £7,200,000 for failing to protect client money
- 11/10/2013: CP 13/5: Compound Growth Limited response to CP 13/5
- 23/07/2013: CP 13/5: Compound Growth Limited response to question 48
- 12/07/2013: CP 13/5: Review of the client assets regime for investment businesses
Compound Growth can help your firm keep up to date with the latest Regulatory News and Compliance Updates:
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