The compliance oversight function is the function of acting in the capacity of a director or senior manager who is allocated by the Financial Services Authority the function of reporting to the governing body to ensure compliance with the rules set out in Conduct of Business, Collective Investment Schemes and Client Assets related operations.
It replaces the Financial Services Authority with two new regulators, namely the Financial Conduct Authority and the Prudential Regulation Authority, and creates the Financial Policy Committee of the Bank of England.
Public directorships include non-executive director of the Financial Services Authority (FSA) Board, Eniro AB and the Royal Swedish Opera.
As a result of the trading, PVM Oil Futures suffered losses of almost $10 million and Perkins was dismissed, later being banned from trading by Financial Services Authority (FSA).
Brandeis (Brokers) Ltd was a broker and ring dealing member on the London Metal Exchange that operated as a subsidiary of Pechiney from 1981 through 2000, when it was banned from trading by the FSA.
United States Department of Health and Human Services | Financial endowment | General Services Administration | Office of Strategic Services | Nigerian Television Authority | Tennessee Valley Authority | Port Authority of New York and New Jersey | Palestinian National Authority | Catholic Relief Services | Amazon Web Services | Inter-Services Intelligence | Returned and Services League of Australia | Prudential Financial | Metropolitan Atlanta Rapid Transit Authority | Massachusetts Bay Transportation Authority | Coalition Provisional Authority | New York City Housing Authority | Financial Industry Regulatory Authority | Tata Consultancy Services | Port Authority Trans-Hudson | Financial Services Authority | Centers for Medicare and Medicaid Services | Land Transport Authority | Chief Financial Officer | Chicago Transit Authority | 1997 Asian financial crisis | Taxi Services Commission | Supply of Goods and Services Act 1982 | Qatar Investment Authority | financial services |
In 2009, Adair Turner (chair) and Hector Sants (CEO) of the UK Financial Services Authority both supported the idea of new global taxes on financial transactions.
With expertise in compliance, IdeaPlane's platform was tailored to keep companies compliant with the regulations set forth by organizations like the U.S. Financial Industry Regulatory Authority, Financial Services Authority and U.S. Securities and Exchange Commission.
The license and registration can be obtained at a securities regulatory agency such as the U.S. Securities and Exchange Commission (SEC) in the U.S., the Ontario Securities Commission in Ontario, Canada, the Autorité des marchés financiers in France and Quebec, Canada, or the Financial Services Authority in the U.K.
Financial Services and Markets Act 2000, a UK law that created the Financial Services Authority
On 1 August 2006, following approval by the Mercantile members and confirmation by the Financial Services Authority (FSA), Leeds Building Society merged with Mercantile Building Society.