The Regulatory Environment: UK Financial Regulatio • The Regulatory Environment: UK Financial Regulatio
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The Regulatory Environment: UK Financial Regulations CISI When did the Financial Services and Markets Act (FMSA) come into effect? - Answer-Nov 30 2001 What did the FMSA establish? - Answer-The FSA to replace self-regulatory organisations (SROs) The Financial Ombudsman Service (FOS) The Financial Services Compensation Scheme (FSCS) The UK listing regime - UK listing authority (UKLA) Criminal penalties for market abuse What act amended the FMSA? - Answer-The Financial Services Act ...