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Securities & Investment Institute Compliance Forum

Securities & Investment Institute Compliance Forum. 19 September 2007 Lesley Titcomb Director - FSA Regulatory Transactions Division. Agenda. Introduction Regulatory Transactions Divisions Areas of Responsibility MiFID The Future Questions. Areas of Responsibility.

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Securities & Investment Institute Compliance Forum

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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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