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CESR publishes annexes to its technical advice on the KID for UCITS

  • Norton Rose LLP
  • -
  • European Union
  • -
  • January 4 2010

In its technical advice to the European Commission on the Key Information Document for UCITS (28 October 2009) the Committee of European Securities Regulators (CESR) proposed the use of a synthetic indicator (SRRI) for funds’ risk and reward disclosure, accompanied by a short narrative description of the limitations of the indicator and where relevant, the risks that were not fully captured by the indicator

European Commission publishes guidelines on PSD passport notifications

  • Norton Rose LLP
  • -
  • European Union
  • -
  • November 2 2009

The European Commission has published a set of guidelines that provide a framework for the co-operation of competent authorities with regard to the implementation of the passport notification provisions under the Payment Services Directive (PSD

The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2010

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 29 2010

There has been published on the Office of Public Sector Information website, The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2010 (the Order

The Financial Collateral Arrangements (No. 2) Regulations 2003 (Amendment) Regulations 2009

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • September 14 2009

The Office of Public Sector Information (OPSI) has published the Financial Collateral Arrangements (No. 2) Regulations 2003 (Amendment) Regulations 2009

European Forum sets out best practices for directors' pay and statement from the European Corporate Governance Forum on executive remuneration

  • Norton Rose LLP
  • -
  • European Union
  • -
  • March 30 2009

The European Commission’s European Corporate Governance Forum (the Forum), has issued a public statement concerning best practices that should govern the remuneration of executive directors

CEBS publishes its guidelines on the revised large exposures regime

  • Norton Rose LLP
  • -
  • European Union
  • -
  • December 21 2009

A revised large exposures regime has been included in the amended Capital Requirements Directive

Measures adopted by CESR members on short selling - updated

  • Norton Rose LLP
  • -
  • European Union
  • -
  • October 29 2009

On 22 September 2009, the Committee of European Securities Regulators has published its latest updated table setting out the specific measures that its member countries have taken in respect of short selling

Client Money and Asset report Dear CEO letter - follow up

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 28 2010

On 19 January 2010, the FSA published a Dear CEO letter it had sent to firms drawing their attention to concerns over the handling of client money and assets

IMA publishes matrix on use of dealing commissions

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 18 2009

The Investment Management Association (IMA) has published a matrix which provides a snapshot as at March 2009 of practices across buy-side firms showing what services are paid for out of client commissions charged on trade executions and which functions within firms pay for and use those services

The Financial Transparency (EC Directive) Regulations 2009

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • September 14 2009

The Office of Public Sector Information (OPSI) has published the Financial Transparency (EC Directive) Regulations 2009 (the Regulations

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