8th November 2011

News from Compliancy Services‏

Mobile Phone Call Recording - 14th November 2011

Firms are reminded of the forthcoming implementation date for mobile phone recording...

Mortgage Market More Complicated Under PRA/FSA?

The post-FSA mortgage market is going to be more complex under the dual regulation of the PRA and the FCA says the Council of Mortgage Lenders...

RDR: Commission Ban for All Advisers

The FSA is confident it will be able to impose an RDR ban on commission for all advisers, despite the latest draft of Mifid II focusing its commission ban only on independent advisers...

FSA and Treasury Select Committee in Heated Words over Request for RDR Delay

The FSA rejected TSC calls for RDR to be delayed by 12 months, but said it will continue to monitor industry progress towards higher qualifications carefully.

Applications for Recognition as a Recognised Auction Platform

In its recent informal consultation document, Regulating auctions of EU emissions allowances (July 2011), HM Treasury consulted on changes to the legislative framework that would enable UK RIEs to auction emission allowances on behalf of EU Member States, as part of the Phase III of the EU Emissions Trading System...

Finalised Guidance for Reporting of Transactions on Turquoise Derivatives

Previously, firms reported transactions admitted to trading on EDX as on-exchange transactions. Under the current rules, transactions for deriative instruments admitted to trading on Turquoise Derivatives are technically OTC derivatives...

Finalised Guidance for Reporting of Transactions on Derivative Markets Where Reference Data is Not Available

In Market Watch 40 the FSA gave firms notice of the FSA's intention to propose new guidance for firms reporting derivative transactions conducted through clearing platforms of derivative markets where the reference data for those transactions is not made available to FSA and ARMs...

Packaged Bank Accounts Consultation Paper 11/20

New ICOBS rules for the sale of non-investment insurance contracts...

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