Gem Compliance Consulting
Library
Library
Gem Briefing notes
2011
GBN 11/5 RDR Implementation Considerations - October 2011
GBN 11/4 Complaints Handling (DISP) - August 2011
GBN 11/3 Financial Promotions - Guidance on Prominence - July 2011
GBN 11/2 UK Bribery Act 2010 - May 2011
GBN 11/1 FSA Guidance Assessing Suitability - February 2011
2010
GBN 10/12 UK Stewardship Code - New Conduct of Business Rule - December 2010
GBN 10/11 Corporate Governance and Changes to Approved Persons Roles - November 2010
GBN 10/10 Significant Influence Functions (‘SIF’) Applications - Guidance on the FSA’s current approach - November 2010
GBN 10/9 Changes to complaints handling rules - October 2010
GBN 10/8 Revising the Remuneration Code - September 2010
GBN 10/7 New short selling disclosure requirements - September 2010
GBN 10/6 Online Notifications and Applications ('ONA') System - August 2010
GBN 10/5 FSA Small Firms Review of UCIS - July 2010
GBN 10/4 FSA change in structure - July 2010
GBN 10/3 Transitioning Money Service Businesses - What you need to know about FSA Authorisation - May 2010
GBN 10/2 The FSA Policy Statement on Enforcement Penalties - March 2010
GBN 10/1 Feedback on ICAAP Submissions - January 2010
2011
GBN 11/5 RDR Implementation Considerations - October 2011
GBN 11/4 Complaints Handling (DISP) - August 2011
GBN 11/3 Financial Promotions - Guidance on Prominence - July 2011
GBN 11/2 UK Bribery Act 2010 - May 2011
GBN 11/1 FSA Guidance Assessing Suitability - February 2011
2010
GBN 10/12 UK Stewardship Code - New Conduct of Business Rule - December 2010
GBN 10/11 Corporate Governance and Changes to Approved Persons Roles - November 2010
GBN 10/10 Significant Influence Functions (‘SIF’) Applications - Guidance on the FSA’s current approach - November 2010
GBN 10/9 Changes to complaints handling rules - October 2010
GBN 10/8 Revising the Remuneration Code - September 2010
GBN 10/7 New short selling disclosure requirements - September 2010
GBN 10/6 Online Notifications and Applications ('ONA') System - August 2010
GBN 10/5 FSA Small Firms Review of UCIS - July 2010
GBN 10/4 FSA change in structure - July 2010
GBN 10/3 Transitioning Money Service Businesses - What you need to know about FSA Authorisation - May 2010
GBN 10/2 The FSA Policy Statement on Enforcement Penalties - March 2010
GBN 10/1 Feedback on ICAAP Submissions - January 2010
