Regulation And Risk From Resources Compliance

Resources Compliance is a specialist regulatory and compliance practice, serving the financial services sector. Our team of specialist regulatory consultants has a wide range of experience and expertise. The Resources Compliance team covers the complete spectrum of financial services regulation and compliance. Resources Compliance is part of the Resources Global Professionals group and has worked on a number of projects with Technical Connection supporting firms’ business initiatives
Below is a selection of our most recent updates on this subject.

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8 May 2012 Compliance Bulletin - From Resources Compliance

Resources Compliance publish a regular newsletter on compliance. The 8 May 2012 edition is available here.
Wednesday, May 09, 2012

FSA Issues Final Guidance On Traded Life Policy Investments

You may be aware that the FSA has recently issued Finalised Guidance on Traded Life Policy Investments. Resources Compliance have produced a summary outlining the regulator's views and actions that firms should now be considering.
Tuesday, May 01, 2012

23 April 2012 Compliance Bulletin - From Resources Compliance

Resources Compliance publish a regular newsletter on compliance. The 23 April 2012 edition is available here.
Friday, April 27, 2012

9 April 2012 Compliance Bulletin - From Resources Compliance

Resources Compliance publish a regular newsletter on compliance. The 9 April 2012 edition is available here.
Monday, April 16, 2012

26 March 2012 Compliance Bulletin - From Resources Compliance

Resources Compliance publish a regular newsletter on compliance. The 26 March 2012 edition is available here.
Thursday, March 29, 2012

12 March 2012 Compliance Bulletin - From Resources Compliance

Resources Compliance publish a regular newsletter on compliance. The 12 March 2012 edition is available here.
Friday, March 16, 2012

Rdr - A February Flurry

February saw a flurry of documents issued by the FSA and others concerning the RDR, giving further guidance and information about how it will all work. A number of issues and questions still remain unresolved.
Tuesday, March 06, 2012

27 February 2012 Compliance Bulletin - From Resources Compliance

Resources Compliance publish a regular newsletter on compliance. The 27 February 2012 edition is available here.
Tuesday, February 28, 2012

Non-Gabriel Paper (Ngp) Reports

From 19 September 2011, firms required to submit any of the non-GABRIEL paper (NGP) reports listed below began to see them scheduled on GABRIEL, providing a more comprehensive picture of their reporting requirements.
Tuesday, February 28, 2012

13 February 2012 Compliance Bulletin - From Resources Compliance

Resources Compliance publish a regular newsletter on compliance. The 13 February 2012 edition is available here.
Friday, February 24, 2012

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