Related information

Compliance Officer letters

We occasionally publish letters to Compliance Officers which can be found in the Miscellaneous section.

 

2010 2009 2008 2007 2006 2005 2004 2003 2002 2001

Date Subject
February Dear CEO letter- Adequate financial resources for insurance intermediaries [PDF]
January Client Money & Asset report [PDF]
January

FSA requirements on your firm’s liquidity risk management [PDF]
(This letter was sent just to ILAS firms, excluding branches).