Tuesday 25th June 2019
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Comsure operates in:the UK, Jersey, Guernsey

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SOCA publishes Suspicious Activity Reports Regime Annual Report

SOCA publishes Suspicious Activity Reports Regime Annual Report The Serious Organised Crime Agency (SOCA) has published the Suspicious Activity Reports (SAR) Regime Committee Annual Report. The report is the Committee’s assessment, for Home Office and Treasury Ministers, of the operation of the SARs regime from October 2008 to end of September 2009. http://www.soca.gov.uk/assessPublications/downloads/SARs_Annual_Report_2009.pdf FacebookTwitterLinkedinemail

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Walker Review on corporate governance in financial institutions

On the 26th November Sir David Walker published his Final Recommendations on corporate governance in UK banks and other financial institutions (BOFIs). These set out the final conclusions and recommendations following consultation on his preliminary report published in July. The Final Recommendations aim to bring about significant cultural and organisational changes in corporate governance. The […]

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FSA fines Nomura International Plc for systems and controls failings

The FSA has imposed a fine of £1.75 million (after a 30% discount) on Nomura International Plc (Nomura) for systems and controls failings in relation to book marking within its International Equity Derivatives (IED) business. The failings came to light following the discovery in June 2008 of trader mis-marking in Nomura’s Hong Kong Single Stock […]

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The Financial Services Bill

The Financial Services Bill – On 19 November 2009, the UK Government published the Financial Services Bill (FS Bill) that it has introduced to Parliament.  The Financial Services Bill contains some new enforcement powers. These include a power to enable the FSA to suspend a firm’s permission to carry on regulated activities. The power is […]

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Guernsey – new Conduct of Business Rules

Guernsey – The Licensees (Conduct of Business) Rules, 2009 – Explanatory Note and Feedback on Consultation. The Guernsey Financial Services Commission, in conjunction with a Working Party including practitioners from the investment business sector, has been preparing new Conduct of Business Rules mandatory for all entities licensed under the Protection of Investors (Bailiwick of Guernsey) […]

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Margaret Cole outlines the FSA’s financial crime agenda

Margaret Cole outlines the FSA’s financial crime agenda – On 19 November 2009, the FSA published a speech by Margaret Cole, FSA Director of Enforcement, on the FSA’s agenda for fighting financial crime. In her speech, Ms Cole talked about the FSA’s “frontline” work as gatekeeper and supervisor in relation to financial crime, as well […]

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FSA speech on key issues relating to conducting business with consumers

On 19 November 2009, the FSA published a speech by Sheila Nicholl, FSA Director of the Conduct Policy Division, entitled “Conducting business with consumers – Delivering the best outcomes”. The speech also helpfully clarifies the responsibilities of the two newly created ‘conduct’ divisions: the Conduct Risk Division, led by Dan Waters and the Conduct Policy […]

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FSA bans jailed mortgage broker over £785,000 fraud

FSA bans jailed mortgage broker over £785,000 fraud – The Financial Services Authority has banned former mortgage broker Rashid Farid who was jailed for 11 years in April 09 after being convicted of dishonesty and two counts of financial crime. Farid operated as sole trader of Lifestyle Mortgages (Kirklees) and was authorised between 31 October […]

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