Monday 14th October 2019
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Comsure operates in:the UK, Jersey, Guernsey

News

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GFSC Public statement re a person known as Ms Pippa Marie Harbour

GFSC Public statement relating to the person known as Ms Pippa Marie Harbour of Shoreham Lodge, La Rue des Varendes, Castel, Guernsey GY5 7RF On 22 October 2009 the Guernsey Financial Services Commission (“the Commission”) decided: 1. To make prohibition orders under the Protection of Investors Law, the Banking Law, the Fiduciary Law and the […]

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JFSC Guidance Note: Certain aspects of the Accounts Orders

JFSC Guidance Note: Certain aspects of the Accounts Orders for: TCB, IB, FSB and GIMB On the 23rd December 2009 the JFSC issued a Guidance Note on certain aspects of the Accounts Orders for: TCB, IB, FSB and GIMB. This guidance note aims to provide guidance to both registered persons and their auditors in respect […]

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FSA fines soared 53% in 2009

FSA fines soared 53% in 2009 The FSA handed out heavier fines to fewer firms in 2009, figures show. According to law firm Reynolds Porter Chamberlain (RPC), the FSA fined 39 firms a total of £34.8m this year. This compares with 50 fines in 2008 worth £22.6m. RPC says 2009 saw eight companies fined £1m […]

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FSA issue 4th biggest fine to London branch of Toronto Dominion Bank

London branch of Toronto Dominion Bank receives second FSA fine for systems and controls failings On 17 December 2009, the FSA published the Final Notice it has issued to Toronto Dominion Bank (London Branch) (TD), fining it £7 million for breach of Principles 2 and 3 of the Principles for Businesses. The FSA found that, […]

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Comsure would recommend the following news service

A new information service has recently been launched which makes it much easier for offshore finance professionals, or those with offshore clients, to stay right up to date with vital industry and regulatory announcements. Offshore Announcements regularly scans an unlimited number of trusted industry websites, and sends notification of any updates directly to each user’s […]

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The largest hedge fund insider trading case in history

New York residents Raj Rajaratnam and Danielle Chiesi have been charged with a 17-count indictment involving conspiracy and securities fraud crimes stemming from their alleged involvement in the largest hedge fund insider trading case in history. Rajaratnam was the managing member of Galleon Management and a portfolio manager for Galleon Technology Offshore. Chiesi was an […]

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FSA consults on raising professional standards for all investment advisers

The FSA has published proposals for enhancing the professionalism of investment advisers under the Retail Distribution Review (RDR). The FSA is proposing 1.    a new in-house governance structure to ensure these enhanced standards are met, both initially and on an ongoing basis, through achieving a higher level of qualification, meeting higher standards of continuing professional […]

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IFA handed £75,000 fine and banned by FSA for lying repeatedly

The Financial Services Authority (FSA) has fined the director of a West Midlands-based IFA firm MFP Group £75,000 and banned from the industry for repeatedly lying. The fine was increased from £50,000 after a 2008 FSA investigation into director Simon Kuun – where he was judged to lack the honesty and integrity expected of an […]

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