UKFI Compliance and Regulation

Sam Urquhart made this Freedom of Information request to UK Financial Investments Limited

The request was successful.

From: Sam Urquhart

11 February 2010

Dear UK Financial Investments Limited,

I would like to request the following information under the Freedom
of Information Act:

The number of occasions on which the board of UK Financial
Investments has met to "review its own performance, constitution
and terms of reference to ensure it is operating at maximum
effectiveness and recommend any changes it considers necessary to
HM Treasury for approval."

The number of compliance staff employed by UKFI and, full text of
the "Compliance Procedures Guide" used by compliance staff.

Full text of the Human Resources Policies and Procedures manual.

Yours faithfully,

Sam Urquhart

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From: enquiries
UK Financial Investments Limited

10 March 2010

Attachment FOI Board Performance.doc
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Attachment UKFI Compliance Procedures Final FOI 10.03.10.pdf
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Attachment UKFI Staff Handbook.pdf
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Dear Mr Urquhart,

Please find attached a reply to your request under the freedom of information act and associated documents as requested.

Yours sincerely,

Mandeep Dhillon
Correspondence Officer

UK Financial Investments Ltd
2nd Floor, Oceanic House, 1a Cockspur Street, London SW1Y 5BG

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