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Results: 1-10 of 98

FSA updates guide to the new PRA and FCA handbooks

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • February 22 2013

On February 19, the UK Financial Services Authority (FSA) published an updated "one-minute guide" summarizing the changes to the FSA Handbook that

European financial transaction tax proposal

  • Katten Muchin Rosenman LLP
  • -
  • European Union
  • -
  • February 15 2013

On February 14, the European Commission released draft text for a proposed financial transaction tax directive. If the text is implemented into law a

Preparing for UK regulatory change: an overview of the new framework

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • December 19 2012

In the aftermath of the 2008 financial crisis, all of the major political parties in the UK proposed significant change to the system of financial regulation

FSA expresses concerns about outsourcing by asset managers

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • December 14 2012

On December 11, the UK Financial Services Authority (FSA) published a “Dear CEO” letter which had been sent to the CEO’s of regulated asset managers outlining its concerns about asset managers’ outsourcing arrangements

FSA consults on regulation of benchmarks

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • December 7 2012

On December 5, the UK Financial Services Authority announced a consultation on its new regulatory framework for financial benchmarks CP1236 The Regulation and Supervision of Benchmarks

FSA requires asset managers to address conflicts of interest

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • November 16 2012

On November 9, the UK Financial Services Authority (FSA) issued a paper entitled “Conflicts of interest between asset managers and their customers: Identifying and mitigating the risks” (the Paper

FSA fines manager for systemic suitability failings

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • November 16 2012

On November 14, the UK Financial Services Authority (FSA) announced that it had fined Savoy Investment Management Limited (Savoy) £412,000 (approximately $653,000) for failing to take reasonable care to ensure the suitability of the investment portfolios of its wealth management clients

UK government endorses all recommendations of Wheatley LIBOR review

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • October 19 2012

On October 17, HM Treasury published a written statement announcing that the Government “fully endorses” all of the recommendations of the Final Report of the Wheatley Review of LIBOR setting out recommendations for LIBOR reform

FSA consults on operation of FCA and sets out PRA’s approach

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • October 19 2012

On October 16, the UK Financial Services Authority (FSA) published a consultation paper entitled Journey to the FCA, regarding how its successor regulator the Financial Conduct Authority (FCA) will operate

HM Treasury consults on financial services regulatory changes

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • October 19 2012

On October 15, HM Treasury published draft secondary legislation relating to the Financial Services Bill which is currently being considered by Parliament

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