Update

ISSUE 67, October 2007


European / International Regulation
-
The Clearing and Settlement Code of Conduct
-
The Commission's Commodity Review
- FOA opinions on rights of market access for commodity derivatives trading
- EU/US Financial Services Regulatory Dialogue

UK Business Conduct Regulation
-
Look out for...
- Have you read...?
-New Handbook forms, including approved persons and appointed representatives
- MiFID Permissions and Notification Guide – Update (including consultation on measures applicable to incoming firms from late-implementing EEA states)
-Best Execution Guidance
-FSA questions and answers on the appropriateness assessment
-FSA: challenges and supervisory priorities
-
Transaction Reporting update

Prudential Regulation
-
Look out for …? FSA's Handbook Development #92
- Have you read...?
Discussion Paper : Review of solo/group capital requirements
-Response to DP07/5 – Group and Solo Capital Requirements

Financial Crime
-Phillip Robson's keynote address

Operational Projects
-EGAINS
-Standard Industry Messaging Protocol

Membership
-
New members ( Oct - Dec 07)

Training and Education
-
Exchange Managers 2008
- Compliance in Derivatives 2008
- MiFID training
- Risk Management

Events

- Power Trading Dinner 2007
- Annual City Debate: 28 January 2008
- IDX 2008

FOA announces new Chairman



 

Key subjects of interest this month are:

If you have any comments regarding this issue of the "Update" please contact Sarah Woolcock or by telephone on +44 (0)20 7090 1330.

For further information please contact:

Regulatory Matters Anthony Belchambers/Jane Green
Member Services Hugo Jenkins
Prudential Regulation Simon Andrews
Regulation - general Devrim Baki
Accounting/Finance David Stuart
Public Affairs Patricia Duncan
Information Services Sarah Woolcock
Special Events Bernadette Connolly

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**The information contained in this newsletter is only intended to provide general guidance. It is not intended to replace the specific advice which should be sought from an appropriate professional adviser before taking any particular course of action.**