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.

For more information on how TCC can help you meet your compliance needs please call 020 3008 6020 or email info@theconsultingconsortium.com

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...