CC:ME is an excellent resource for any compliance professional.  Each week we will email you a round up of all the most important news facing the various financial services sectors.  CC:ME also contains links to important source materials.

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Please see below for links to back issues of CC:ME; or click INF to see back issues of our previous regulatory news round up: Industry New Flash.

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Compliance News - 11 May 2012

CCME TECHNICAL CONTENT WEEK ENDED 11 MAY 2012  SILVER HAIR BRINGS ON THE GOLD  Last week saw a re-union of some of the “great and good” founders of Compliance Officer user gro...

Compliance News - 4 May 2012

CC:ME WEEK ENDED 4 MAY 2012   FSA – REBUILDING TRUST AND CONFIDENCE   Martin Wheatley, managing director of the Financial Services Authority, told an audience at the Chartered Ins...

Compliance News - 27 April 2012

CC:ME WEEK ENDED 27 APRIL 2012 FSA – DELIVERING EFFECTIVE CORPORATE GOVERNANCE Hector Sants delivered what will be his last speech as Chief Executive at The Merchant Taylors’ Hall. ...

Compliance News - 20 April 2012

CC:ME WEEK ENDED 20 APRIL 2012   FSA – CONDUCT SUPERVISION AND THE MOVE TO THE FCA   Clive Adamson, Director of Supervision, Conduct Business Unit, FSA made a speech at the Bloomb...

Compliance News - 13 April 2012

CC:ME WEEK ENDING 13 APRIL 2012   FSA – ASSESSING SUITABILITY   The FSA has published Guidance Consultation on the subject of assessing suitability within the spectrum of replacem...

Compliance News - 30 March 2012

CC:ME WEEK ENDED 30 MARCH 2012   FSA – REVIEW OF ANTI-BRIBERY AND CORRUPTION SYSTEMS AND CONTROLS   The FSA has published the findings of its thematic review into anti-bribery and...

Compliance News - 23 March 2012

CC:ME WEEK ENDED 23 MARCH 2012   FSA – BUSINESS PLAN 2012/13 PUBLISHED   Just while you’re working through the Retail Conduct Risk Outlook, the FSA are competing with the glo...

Compliance News - 16 March 2012

CC:ME WEEK ENDED 16 MARCH 2012   FSA – RETAIL CONDUCT RISK OUTLOOK 2012   The FSA has published what is now an annual document setting out their assessment of the most significan...

Compliance News - 9 March 2012

CC:ME WEEK ENDED 9 MARCH 2012   FSA – QUARTERLY CONSULTATION   The Quarterly Consultation Paper will be relevant to firms and individuals with an interest in:   • &nbs...

Compliance News - 2 March 2012

CC:ME WEEK ENDED 2 MARCH 2012   FSA – SOLVENCY II IMPLEMENTATION UPDATE   The FSA Solvency II industry briefing was addressed by Julian Adams, Director of Insurance, FSA. &nb...

Compliance News - 24 February 2012

CC:ME WEEK ENDING 24 FEBRUARY 2012 AN UPDATE ON THE FSA’S INVESTIGATIONS & ENFORCEMENT REGIME In a Speech by Tracey McDermott, acting director of the Enforcement and Financial Cr...

Compliance News - 17 February 2012

CC:ME WEEK ENDED 17 FEBRUARY 2012   FSA – A QUINTET OF CONSUMER RESEARCH PAPERS   The FSA from time to time publishes consumer research papers by august authors from world leading...

Compliance News - 10 February 2012

CC:ME WEEK ENDED 10 FEBRUARY 2012   FSA – DELIVERING A TWIN PEAKS REGULATORY MODEL   In a speech to the British Bankers’ Association, Hector Sants, chief executive of the FS...

Compliance News - 3 February 2012

CC:ME WEEK ENDED 3 FEBRUARY 2012   FSA – REVIEW OF SALE AND RENT BACKS    The FSA’s review into sale and rent back has found widespread poor practice and sees the marke...

Compliance News - 27 January 2012

CC:ME WEEK ENDED 27 JANUARY 2012   FSA – NEW ORTHODOXY FOR CONDUCT REGULATION   Martin Wheatley, managing director of the Financial Services Authority (FSA), has outlined a new or...

Compliance News - 20 January 2012

CC:ME WEEK ENDED 20 JANUARY 2012   FSA – CLIENT ASSETS SOURCEBOOK: CUSTODY LIENS   This Policy Statement will be of particular interest to firms that place custody assets with thi...

Compliance News - 13 January 2012

CC:ME WEEK ENDING 13 JANUARY 2012   FSA – SWITCHING TERMS ON MORTGAGE CONTRACTS   The FSA has been considering terms in interest-only mortgage contracts that allow firms to switch...

Compliance News - 6 January 2012

CC:ME WEEK ENDED 6 JANUARY 2012    HAPPY NEW YEAR TO ALL OUR READERS   FSA – REMUNERATION TIERS 2 AND 3   The FSA has published finalised guidance on remuneration: prop...

Compliance News - 16 December 2011

INDUSTRY NEWS FLASH WEEK ENDED 16 DECEMBER 2011   FSA – BANS AND FINES FORMER UBS OFFICER £150,000   The Financial Services Authority (FSA) has banned and fined a former cli...

Compliance News - 9 December 2011

CC:ME WEEK ENDED 9 DECEMBER 2011   FSA – REPORTS ON THE FAILURE OF ROYAL BANK OF SCOTLAND   The FSA has published its Board’s Report into ‘The failure of the Royal Ban...

Compliance News - 2 December 2011

CC:ME WEEK ENDED 2 DECEMBER 2011 FSA – FINES HSBC £10.5 MILLION FOR MIS-SALES The Financial Services Authority (FSA) has issued its largest ever retail fine of £10.5 ...

Compliance News - 25 November 2011

CC:ME WEEK ENDED 25 NOVEMBER 2011 FSA – FINES AND BANS HEDGE FUND COMPLIANCE OFFICER The Financial Services Authority (FSA) has fined a former Compliance Officer £14,000, reduce...

Compliance News - 18 November 2011

CC:ME WEEK ENDED 18 NOVEMBER 2011   THE CONSULTING CONSORTIUM WINS LEADING INDUSTRY AWARDS   At the prestigiousCompliance Register Platinum Awards held last Thursday night, The Consulti...

Compliance News - 11 November 2011

CC:ME WEEK ENDED 11 NOVEMBER 2011 FSA – PROPOSES RULES TO PROTECT UNIT-LINKED POLICYHOLDERS The Financial Services Authority (FSA) has proposed rules to maintain protection of policyh...

Compliance News - 4 November 2011

CC:ME WEEK ENDED 4 NOVEMBER 2011   FSA AND OFT – DRAFT GUIDANCE ON PAYMENT PROTECTION PRODUCTS   The Financial Services Authority (FSA) and the Office of Fair Trading (OFT) have j...

Compliance News - 28 October 2011

Compliance News – 28th October 2011   CC:ME  WEEK ENDED 28 OCTOBER 2011   FSA – ACTION ON PACKAGED BANK ACCOUNTS   The Financial Services Authority (FSA) has pro...

Compliance News - 21 October 2011

CC:ME WEEK ENDED 21 OCTOBER 2011 FSA: THE MANSION HOUSE CITY BANQUET SPEECH In a speech at the Mansion House 20 October, the chairman of the Financial Services Authority (FSA), Lord Turner, sai...

Compliance News - 14 October 2011

CC:ME WEEK ENDED 14 OCTOBER 2011 FSA SELLING OF GENERAL INSURANCE THROUGH PRICE COMPARISON WEBSITES: FINAL GUIDANCE Having published draft guidance on their website the FSA has now issued final...

Compliance News - 7 October 2011

CC:ME WEEK ENDED 7 OCTOBER 2011 FSA FINANCIAL PROMOTIONS: GUIDANCE ON PROMINENCE The standard of financial promotions is a priority element of the FSA's retail market strategy and work in ...

Compliance News - 30 September 2011

CC:ME WEEK ENDED 30 SEPTEMBER 2011 CREDIT CREATION AND SOCIAL OPTIMALITY – A SPEECH BY LORD TURNER   Ensuring greater financial stability may require policy makers to make judgements...

Compliance News - 23 September 2011

CC:ME WEEK ENDED 23 SEPTEMBER 2011 FSA EVENT: THE ROLE OF NON-EXECUTIVE DIRECTORS FSA forum: The role of the non-executive directors in governance and risk management of UK subsidiaries of interna...

Compliance News - 16 September 2011

CC:ME WEEK ENDED 16 SEPTEMBER 2011    FSA: NEW GUIDANCE ON SIMPLIFIED ADVICE This proposed guidance relates to the following rule(s) in the FSA Handbook ·   &n...

Compliance News - 2 September 2011

CC:ME WEEK ENDED 2 SEPTEMBER 2011   FSA – PPI REDRESS LEVELS IN FIRST HALF 2011   The Financial Services Authority (FSA) has published details of the amount of redress paid by fi...

Compliance News - 26 August 2011

CC:ME WEEK ENDED 26 AUGUST 2011    FSA – RDR HITS THE HEADLINES   This proposed guidance will be of interest to retail investment advisers and trade associations. During ...

Compliance News - 19 August 2011

CC:ME WEEK ENDED 19 AUGUST 2011   FSA – TRIBUNAL UPHOLDS FSA DECISION TO BAN AND FINE HEDGE FUND CEO AND CFO £2.1 MILLION FOR DECEIVING INVESTORS AND MARKET ABUSE   The Uppe...

Compliance News - 12 August 2011

CC:ME  WEEK ENDED 12 AUGUST 2011   FSA – RECOVERY AND RESOLUTION PLANS   The Financial Services Authority has published a Consultation Paper and Discussion Paper on its propo...

Compliance News - 5 August 2011

CC:ME WEEK ENDING 5 AUGUST 2011    FSA – PROPOSED GUIDANCE ON REMUNERATION   This guidance is of most relevance to all FSA-authorised banks, building societies and Capital Ade...

Compliance News – 29 July 2011

CC:ME WEEK ENDED 29 JULY 2011   FSA – UK OWNED BANKS’ EXPOSURES TO EEA SOVEREIGNS AND FINANCIALS   On 16 June 2011, the Interim Financial Policy Committee (iFPC) recommended...

Compliance News - 22nd July 2011

CC:ME WEEK ENDING 22 JULY 2011   FSA FINES WILLIS £6.895 MILLION FOR ANTI-BRIBERY AND CORRUPTION SYSTEMS AND CONTROLS FAILINGS The Financial Services Authority (FSA) has fined Wi...

Compliance News - 8th & 15th July

INDUSTRY NEWS FLASH WEEKS ENDED 8 AND 15 JULY 2011   FSA – PROPOSED GUIDANCE ON “BUY-OUT” AWARDS TO NEW STAFF   The FSA’s Remuneration Code limits the circumstan...