We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Register

Search by keyword

Jurisdiction

Work area

Firm name

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 8,629

FSA bans firms

Dentons
-
United Kingdom
-
January 16 2009

FSA has banned several firms and individuals: one firm and its owner because the owner had not paid an FOS award leaving the firm with no competent and prudent management; two for not filing their RMARs; one for having inadequate resources; and one individual for various failings, including fraud convictions

CESR publishes statement on reclassification of financial instruments

Dentons
-
European Union
-
January 9 2009

CESR has monitored accounting developments, especially discussions on financial instruments and fair value accounting

FSA clarifies directors’ disclosure

Dentons
-
United Kingdom
-
January 16 2009

FSA has clarified that directors should seek clearance when they plan to use their shares in their company as collateral for a financing transaction

Industry responds on MiFID and secondary markets

Dentons
-
European Union
-
January 16 2009

10 European industry associations, including BBA and LIBA from the UK, have responded to CESR's call for evidence on the impact of MiFID on equity secondary markets

FOS consults on plan and budget

Dentons
-
United Kingdom
-
January 16 2009

FOS is consulting on its corporate plan and 200910 budget

CESR consults on non-equity markets transparency

Dentons
-
European Union
-
January 9 2009

CESR is consulting on the role of trade transparency in the corporate bond, structured finance and credit derivatives markets

FSA publishes UTCRR undertaking

Dentons
-
United Kingdom
-
January 16 2009

FSA has published an undertaking from National Australia Bank

CESR updates MiFID FAQs

Dentons
-
European Union
-
January 9 2009

CESR has published an update of the common positions its members have taken on certain aspects of MiFID

CESR calls for evidence on short selling

Dentons
-
European Union
-
January 9 2009

CESR's new task force on short selling is calling for views on practical issues arising from the emergency short selling regulations

Treasury updates sanctions

Dentons
-
United Kingdom
-
April 12 2013

Treasury has updated its sanctions lists in relation to Zimbabwe, Al-Qaida and the Democratic People's Republic of Korea. The changes relating to