713 results about this entity
Period: 02 Sep 2004 - 14 Aug 2024
News
Software house Autonomy is pitching for business from firms looking to comply with upcoming Financial Services Authority (FSA) regulations requiring them to record and store telephone conversations and electronic communications relating to client orders.
17 September 2008
The Financial Services Authority has warned UK investment banks to improve their risk pricing procedures and stop firing middle and back office staff involved in crucial valuation control functions.
26 August 2008
The UK's Association of Private Client Investment Managers and Stockbrokers (Apcims) is using the Financial Services Authority's (FSA) AGM to raise concerns about changes to existing data security measures and about the management of post-trade data following the implementation of MiFID.
24 July 2008
Citibank's International Personal Bank has temporarily closed its doors to new UK business while the Financial Services Authority runs the rule over its anti-money laundering procedures.
11 July 2008
The UK's Financial Services Authority (FSA) has hit stockbroker Merchant Securities with a £77,000 fine for failing to protect customers from the risk of identity fraud.
18 June 2008
US market operator IntercontinentalExchange (ICE) has received regulatory approval to establish its own clearing operation in London.
13 May 2008
The UK's Financial Services Authority (FSA) has warned that some insurance comparison Web sites could be misleading customers by failing to provide clear and accurate information.
08 May 2008
The Financial Services Authority has warned UK institutions to improve their data security practices after a review of systems and controls at 39 firms uncovered slipshod practices at banks, building societies, insurance companies and financial advisers.
24 April 2008
HSBC says a computer disc containing the confidential personal details of around 370,000 UK life assurance customers has gone missing.
07 April 2008
The UK's Financial Services Authority (FSA) is calling on City banks to tighten up systems and controls in order to prevent a repeat of the rogue trading scandal at French bank Société Générale.
11 March 2008
UK financial institutions will soon have to record and store telephone conversations and electronic communications relating to client orders under new regulations to be introduced by the Financial Services Authority (FSA).
04 March 2008
Bank-backed equities trading venue Turquoise has added Ian Werner - a former compliance and investigations manager at the London Stock Exchange (LSE) - to its senior management team.
19 February 2008
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