Brokers & dealers - Publications
Setting up an FSA regulated business
This booklet provides a practical guide to the financial aspects of setting up and running a regulated business.
581 KBFinancial services & markets group bulletin - July 2008
In this issue: The offshore funds regime, Rogue trading, IRR update, Introducing Colin Aylott.
641 KBFinancial services & markets group flyer
Our Financial Services and Markets Group focuses on businesses regulated by the Financial Services and Markets Act 2000. The group's aim is to exceed clients' expectations by bringing together experts from various disciplines who deal with the financial services sector.
445 KBThe ICAAP toolkit - making the most of Pillar 2
Pillar 2 of the CRD establishes a joint supervisory process between the firms and the regulator to ensure that firms hold sufficient capital in respect of their risk profile.
243 KBFinancial services & markets group bulletin - March 2008
In this issue Smith & Williamson's annual Financial Services Survey, Encouraging market discipline, Pre-Budget Report on CGT.
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