Investment management and securities & futures firms (including stockbrokers)
This page is for you if you are an investment management and securities & futures firm and want to find out more about how the FSA regulates you and what's going on in your sector.
Latest updates and additions
10 July:
Former broker banned and fined £16,000 for dishonesty and using high pressure sales tactics
20 June:
Survey to assess supervisory and regulatory tools
9 June:
Information on the Payment Services Directive
MiFID
For information on MiFID and CRD consultation papers, have a look at pages 8-10 of the recently published Joint Implementation Plan [PDF].
Financial promotions
Information on MiFID and COBS
Conduct of Business – Savings and investments
Communicating with clients, including financial promotions
Suspicious transaction reports
We have recently published a factsheet on suspicious transaction reports (STRs). It sets out:
- under what circumstances to report an STR;
- what an STR should contain;
- how to implement STR related systems and controls; and,
- where to submit an STR.
If you would like a copy of the factsheet, please contact market.abuse@fsa.gov.uk