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Securities & Investment Compliance Forum 2007: FSA Regulatory Insights

Join the discussion on regulatory transactions, Permissions, MiFID, and the future of compliance in the investment industry. Learn about making good regulatory decisions, enhancing customer service, and operational efficiency.

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Securities & Investment Compliance Forum 2007: FSA Regulatory Insights

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  1. Securities & Investment Institute Compliance Forum 19 September 2007 Lesley Titcomb Director - FSA Regulatory Transactions Division

  2. Agenda • Introduction • Regulatory Transactions Divisions • Areas of Responsibility • MiFID • The Future • Questions

  3. Areas of Responsibility • Permissions (Authorisation, Variations of Permission, Cancellations) • Regulatory Decisions (Changes in Control, Waivers, Passporting) • Individuals, CIS, Mutuals and Policy

  4. Regulatory Transactions Aims • To make good regulatory decisions • To give good customer service • To operate a fair and efficient process

  5. The Future • Markets in Financial Instruments Directive (“MiFID”) • What we have done and are doing • Issues • Continuing to Improve Customer Service

  6. Questions

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