77 FR 17328 CFTC Release 77 FR 11252 from Friday, February 24, 2012 is being partially republished due to numerous errors. Cross References: 77 FR 11252; 76 FR 7976; Rule 4.5; Rule 4.7; Rule 4.13; Rule 4.14; Rule 4.24; Rule 4.27; Rule 4.34; Dodd-Frank Sections 404 406; Lofchie's Guide to CPO/CTA Regulation: Chapters 3 4, Registration, Chapter 5, Reporting.

Financial Services Authority On 23 March 2012, the FSA published finalised guidance on retail structured products (FG12/9) following its November 2011 guidance consultation on retail product development and governance (GC11/27).

Financial Services Authority On 23 March 2012, the FSA fined Coutts Company £8.75 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) systems and controls relating to high risk customers, including Politically Exposed Persons (PEPs).

European Parliament On 19 March 2012, the European Commission published a green paper on the approach it should take towards the regulation of shadow banking entities and activities. The consultation concentrates on: i) the definition of shadow banking; ii) the risks and benefits relating to shadow banking; iii) challenges posed by shadow banking for supervisors and regulators; and iv) existing EU regulatory measures relating to shadow banking.

View study here. Release Date: 03/20/2012 Cross-Reference Dodd-Frank § 1061