FCA publishes regulatory failure approach *

United Kingdom - April 26 2013
FCA has published its approach to investigating and reporting on regulatory failure. The paper makes clear the circumstances in which FCA will…

Co-authors: Katharine Harle.

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PRA publishes investigations policy *

United Kingdom - April 26 2013
PRA has published a Policy Statement on conducting statutory investigations. The policy explains: when PRA is required to undertake these…

Co-authors: Katharine Harle.

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IOSCO consults on benchmark principles *

Global - April 19 2013
IOSCO is consulting on a set of principles for benchmarks used in global financial markets. It has also identified a need for a subset of principles…

Co-authors: Rosali Pretorius.

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Law Commission starts review of investment intermediaries’ fiduciary duties *

United Kingdom - April 5 2013
The Law Commission has started its review, commissioned by the Government following a recommendation in the Kay Review of UK equity markets, of the…

Co-authors: Andrew Barber .

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FSA fines for unsuitable investment advice *

United Kingdom - April 5 2013
FSA has fined Care Asset Management Limited (Care), an independent financial adviser, £56,000 in relation to the distribution of Keydata products…

Co-authors: Katharine Harle.

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