Compliance
Archived items of interest

UK Government consultation on penalties for breaches of financial sanctions (closes 26 Jan 2017)
HM Treasury consultation on amending the definition of financial advice (closes 15 Nov 2016)
FCA's third MiFID II consultation 29 September 2016 with draft handbook text for new SYSC taping rules and new COBS
Transparency International - Corruption Perceptions Index 2015 - published 27 Jan 2016
European Banking Authority final Guidelines on remuneration and proportionality 21 December 2015
Andrew Green QC Report into FSA’s enforcement actions following the failure of HBOS 19 November 2015
HM Treasury plans to extend Senior Managers and Certification Regime to all firms: policy paper 15 October 2015
Global Financial Centers Index 18 sponsored by QFCA 23 Sept 2015
World's 300 largest pension funds Towers Watson report Sept 2015
EU member countries' assessments of tax havens 17 June 2015
Fair and Effective Markets Review of Fixed Income, Currency and Commodities (FICC) markets 10 June 2015
Transparency International - Global Corruption Barometer 2013
FSCS deposit protection limit reduces to £75,000 on 1 January 2016
Financial Conduct Authority Business Plan 2015/16
Banking Standards Review - 19 May 2014
ESMA - Feb 2013 Guidelines on sound remuneration policies under the AIFMD
FSA - Financial Crime: a guide for firms
FSA Handbook Summary as at March 2011
Transparency International - Corruption Perceptions Index 2012
Financial Secrecy Index
Ministry of Justice Bribery Act Guidance for commercial organisations
Wolfsberg Anti-Corruption guidance
IOSCO - Unregulated Financial Markets and Products Report
IOSCO Report on Private Equity Conflicts of Interest
Serious Fraud Office - Confidential whistleblowing site