Regulatory Updates

During the course of the year, Complyport publishes a number of periodical newsletters, titled "Compliance Matters", which discuss regulatory issues directly relevant to our clients. Our newsletter is sent to all existing clients and is subsequently available as a pdf on our website.

In addition, Complyport also publishes "Alert", which is a rapid response to breaking news or regulatory issues of immediate interest.

You can access these publications below:

• Compliance Matters Alert - FSA shorting rules 19.09.08 - September 2008 (135kb)
• Insider Dealing - Fine - September 2008 (99kb)
• The GABRIEL angle - July 2008 (154kb)
• Can't get enough? - May 2008 (178kb)
• Treating Customers Fairly - March 2008 (179kb)
• Hello! Is It Me You're Looking For? - February 2008 (117kb)
• The HFWG - More Regulation Anyone? February 2008 (159kb)
• Integrated Regulatory Reporting Update - December 2007 (175kb)
• It's only just begun - November 2007 (163kb)
• It's the Final Countdown - October 2007 (182kb)
• Put on Your telephone voice! - September 2007 (119kb)
• Investment Management Exemption - August 2007 (203kb)
• Principles-Based Regulation - May 2007 (207kb)
• Funds of Alternative Investment Funds - April 2007 (71kb)
• Approved Persons and Training & Competence Regimes - March 2007 (102kb)
• Integrated Regulatory Reporting - February 2007 (73kb)
• Alert, 8th December 2006 (93kb)
• Alert, 13th November 2006 (98kb)
• Compliance Matters, Autumn 2006 (1.1Mb)
• Alert, 29th September 2006 (101kb)
• Alert, 25th September 2006 (74kb)
• Alert, 24th June 2005 (168kb)
• Compliance Matters, Spring 2005 (1.1Mb)
• Alert, 31st March 2005 (112kb)
• Compliance Matters, January 2005 (339kb)