The Compliance Officers' E-Information Centre
The Compliance Exchange is an online research facility for individuals concerned with governance issues in the financial services industry. It is intended to assist compliance officers, directors and those who study, service or regulate financial services in the United Kingdom and internationally. The Compliance Exchange, started in 1995, aims to present a collection of links to selective and relevant information sources. The Compliance Exchange is sponsored by Arch International Group
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NEWS TOPICS Treasury Select Committee report on the Financial Conduct Authority (FCA) 13 January 2012
Compliance Exchange Regulatory Bulletin Q4 2011
The failure of the Royal Bank of Scotland: FSA Board Report 12 December2011
Transparency International - Corruption Perceptions Index 2011
Serious Fraud Office - Confidential whistleblowing site Nov 2011
Remuneration Code Summary
Financial Secrecy Index 4 October 2011
EBA Internal Governance Guidelines 27 September 2011
FSA's submission to the Joint Committee on the draft Financial Services Bill 23 September 2011
Proposed revision of JMLSG Guidance September 2011
Vickers Report - Independent Commission on Banking 12 September 2011
Wolfsberg Anti-Corruption revised guidance August 2011
ESMA statement on short selling restrictions 12 Aug 2011
AIFM Directive text: Official Journal of the European Union July 2011
HM Treasury: A new approach to financial regulation: the blueprint for reform 16 June 2011
National Crime Agency Plan 8 June 2011
Prudential Regulation Authority: the future approach to banking supervision 19 May 2011
DCMS Statement on implementation of the EU electronic Communications Framework
Independent Banking Commission interim report 11 April 2011
FSA fines for fiscal 2010-11 exceed £99 million!
30 March 2011 Ministry of Justice Bribery Act Guidance for commercial organisations
FSA Handbook Summary
IOSCO - Unregulated Financial Markets and Products Report, March 2011
HM Treasury: A new approach to financial regulation: judgement, focus and stability Feb 2011
IOSCO Report on Private Equity Conflicts of Interest Nov 2010
The Financial Services Act 2010
The Financial Services and Markets Act 2000
AIMA EU Alternative Investment Fund Managers Directive Centre
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