The Compliance Exchange - Archived Topical Links
Each of these links has at some time in the past been considered of current topical interest to compliance professionals and students. They have been archived rather than deleted because they may continue to be of research value for some time to come. A few of these archived links may become obsolete where the original URLs have expired
FSA - Regulatory processes manuals final versions (17/5/01)
- FSA - Best Execution discussion paper, 52 pages .pdf (25/4/01)
- HMT - Disclosure of Confidential Information Regulations 2001 (2/4/01)
- DSS - Stakeholder Pensions (6/4/01)
- FSA - CP87 Endorsement of City Codes (5/4/01)
- Myners' Review of Institutional Investment: Final Report (6/3/01)
- FSA - Collective Investment Scheme Sourcebook final version (1/3/01)
- FSA - High Level Standards for Firms and Individuals (23/2/01)
- FSA - Conduct of Business Sourcebook (7/2/01)
- EU Commission paper on capital adequacy framework (5/2/01)
- The New Basel Capital Accord (16/1/01)
- HMT - Financial Promotion Third Consultation (26/10/00)
- HMT - Draft Regulated Activities Order and Consultation (26/10/00)
- FESCO - Harmonisation of Conduct of Business Rules (7/2/01)
- FSA Draft Authorisation, Supervision and Enforcement Manuals (17/8/00)
- FSA - Money Laundering Rules Policy (15/1/01)
- USA - SEC Report on Mutual Fund Fees (10/1/01)
- FSA - CP80 Reforming Polarisation First Steps (5/1/01)
- Hong Kong SFC Fit & Proper Criteria (12/00)
- FSA - CP76 Supplement to the Draft Code of Market Conduct (1/12/00)
- PIA/FSA - CP75 Endowment Mortgage Complaints (30/11/00)
- Accounting Standards Board FRS 17: Retirement Benefits (30/11/00)
- "Wolfsberg" Principles for Anti-Money Laundering (30/10/00)
- PIA Regulatory Update 80 (11/00)
- OPRA - Stakeholder Pensions Website (21/11/00)
- Human Rights Act 1998 (effective 2/10/00)
- FESCO paper: Regulation of Alternative Trading Systems in Europe (25/9/00)
- USA - SEC Regulation FD: Selective Disclosure and Insider Trading (21/8/00)
- FSA - CP62 Draft Rules for Collective Investment Schemes (10/8/00)
- DPR Draft Rules on Employment COP (9/10/00)
- BBA Press Release about revised Banking Code (19/9/00)
- Paul Myners' Review of Institutional Investment (17/5/00)
- Don Cruickshank's Review of Banking Competition (20/3/00)
- OECD Report on "Harmful" Tax Havens (26/6/00)
- SEC Sanctions 4 Options Exchanges for Anticompetitive Conduct (11/9/00)
- Protect and Survive: PWC e-commerce regulation paper (7/00)
- FSA - CP59 Market Abuse: A Draft Code of Market Conduct (25/7/00)
- FSA - CP57 Conduct of Business Sourcebook Supplement (30/6/00)
- iX - Letter to FMA Members (7/8/00)
- FSA - Policy Statement 31: Standards for Firms and Individuals (8/6/00)
- FSA - CP53 Regulation of Approved Persons, Controlled Functions (8/6/00)
- H M Treasury - IPA consultation document (11/7/00)
- FSA - Annual Report 1999/2000 (7/00)
- USA SEC: Consultative Paper on Use of Electronic Media (28/4/00)
- FSA press release - Conduct of Business Sourcebook (29/2/00)
- .... and the draft rules (warning: 405 pages .pdf)
- USA: SEC Proposed Electronic Form ADV (comments by 13/06/00)
- RSA: Financial Institutions (Protection of Clients) Bill 2000 (16/04/00)
- The UK's Financial Services and Markets Bill Draft (9/05/00)
- FSA Statement - Mortgage Endowments: The Facts (24/5/00)
- FSA CP47 - The Inter-Professionals Code (11/05/00)
- The UK's Financial Services and Markets Bill Draft (31/03/00)
- Hong Kong Composite Bill - Draft Legislation (1/04/00)
- FSA response to difficulties at the London Stock Exchange (5/04/00)
- FSA CP46 - Money Laundering: the FSA's new role (18/04/00)
- Personal Investment Authority: 1999 Disclosure Report (29/3/00)
- FSA Consumer Help website (28/3/00)
- The Transformation of Financial Services Regulation - FSA (13/3/00)
- New Technology: Old Fundamentals - HK SFC (15/3/00)
- Financial Services Consumer Panel Annual Report 1999 (13/3/00)
- FSA internet alert - pump & dump, cash & trash (1/3/00)
- "Stamp Out Stamp Duty" Campaign (3/2/00)
- FSA - A New Regulator for the New Millennium (21/1/00)
- The UK's Financial Services and Markets Bill Latest Draft (10/02/00)
- AUTIF members' Funds Under Management tables
- FATF report on non-cooperative countries and territories (14/2/00)
- FSA Consultation Paper 43 - Customer Classification (14/2/00)
- JIWAY - a planned Pan-European Exchange (8/2/00)
- The Open Ended Investment Companies Regulations (28/1/00)
- FSA - Regulation of Market Infrastructure (24/1/00)
- Statutory regulation of mortgages - new CAT standards (26/1/00)
- Plumbers and Architects - supervision and financial architecture (26/1/00)
- FSA Consultation Paper 38: Client Money and insolvency (20/1/00)
- FSA Review of the Capital Adequacy Framework [Link Down 3/00]
- SFA - result of Mr Fleurose's appeal to Tribunal (17/12/99)
- FSA Consultation Paper 35: Senior Management Arrangements (7/12/99)
- DTI: Responses to E-Commerce Bill consultation (19/11/99)
- The UK's Electronic Commerce Bill Online
- Individual Savings Account Regulations 1998 (SI 1998/1870)
-
Year 2000 Links
- FSA Consultation Paper 34: Training & Competence Sourcebook (23/11/99)
- FSA Consultation Paper 33: Consumer Complaints (10/11/99)
- The FSA Millennium Event Office (12/99)
- FSA Consultation Paper 31: Setting Prudential Standards (4/11/99)
- Financial Promotion - A New Approach for the Information Age (28/10/99)
- NAPF's UK Investment Performance Standards consultation (10/99)
- SEC Chairman Levitt - "The Lifeblood of Our Markets" (18/10/99)
- FSA Consultation Paper 26: The Regulation of Approved Persons(30/7/99)
- e-Commerce Directive
- UK Government proposals on CAT Standards for Mortgages (13/10/99)
- FSA Consumer Alert on Day Trading (19/10/99)
- SEC Chairman Arthur Levitt's Testimony on Day Trading (16/9/99)
- FSA Consultation Paper 29: The Permissions Regime (14/10/99)
- DSS Consultation Brief 4 - Regulation of Stakeholder Pensions (2/8/99)
- Conference: Firm-Wide Risk Management for the Investment Management Industry 25/10/99
- South Africa Collective Investment Schemes Control Bill Draft 15 (27/8/99)
- NASAA Report on Day Trading (8/8/99)
- OFT Report on Polarisation of Investment Advice (3/8/99)
- HMT Regulation of Mortgages Consultation Document (7/99)
- DSS Consultation Brief 5 - Governance of Stakeholder Pensions (3/8/99)
- FSA - Towards the Millennium Y2000 Report (18/8/99) [Link Down 3/00]
- FSMB: Market Abuse - Prescribed Markets (6/99) [Link Down 3/00]
- FSA's short guide to preparations for the new regulatory regime (7/99) [Link Down 3/00]
- Institutional Voting Information Services (7/99)
- Central Register of authorised persons (30/4/99)
- Bank of England - Financial Preparations for the Year 2000 (29/3/99)
- Government Response to the Reports of the Joint Committee (17/6/99)
- Joint Committee Reports of Houses of Lords and Commons
- Financial Services Authority - Regulatory Reform [Link Down 3/00]
- FSMB "Financial Promotion" consultation document (3/99)
- FSMB "Regulated Activities" consultation document (3/99)
- South Africa - collective investment schemes control bill (4/99)