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Results: 1-10 of 98

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

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 announces changes to approved person registration requirements

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • July 31 2009

On July 27, the UK Financial Services Authority (FSA) confirmed an extension of the approved persons registration regime to include any person performing a "significant influence" function at an FSA authorized firm

Commission publishes report of expert group on EU bank reform

  • Katten Muchin Rosenman LLP
  • -
  • European Union
  • -
  • October 5 2012

On October 2, the European Commission published the report of the High-Level Expert Group on Reforming the Structure of the EU Banking Sector chaired by Erkki Liikanen, Governor of the Bank of Finland and a former member of the European Commission

FMLC publishes comments on HM Treasury proposals for new UK regulatory structure

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • December 2 2011

On November 22, the Financial Markets Law Committee (FMLC) published its final response comments to HM Treasury's June 2011 consultation on the government’s new UK financial services regulatory structure

Financial Services Act 2010 passed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 16 2010

The Financial Services Act 2010 received Royal Assent on April 8

FSA issues discussion paper on Product Intervention

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • January 28 2011

On January 25, the UK Financial Services Authority (FSA) published DP111, a discussion paper on Product Intervention

HM Treasury discussion paper on policy options for implementing AIFMD

  • Katten Muchin Rosenman LLP
  • -
  • European Union, United Kingdom
  • -
  • March 16 2012

On March 14, HM Treasury published a discussion paper on high level policy options for implementing the EU Alternative Investment Fund Managers Directive (201161EU) (AIFMD

FSA fines Habib Bank and its Money Laundering Reporting Officer for AML control failings

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • May 18 2012

On May 15, the UK Financial Services Authority announced that it had fined Habib Bank AG Zurich £525,000 (approximately $830,000) and Syed Itrat Hussain its former Money Laundering Reporting Officer £17,500 (approximately $28,000) for failure to take reasonable care to establish and maintain adequate anti-money laundering systems and controls

FSA publishes new financial penalties framework

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • March 12 2010

In early March, the UK Financial Services Authority (FSA) issued policy statement PS1004 entitled Enforcement Financial Penalties

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