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.
Lexology logo






  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 297

FSCS publishes annual report

  • Dentons
  • -
  • United Kingdom
  • -
  • July 13 2012

FSCS’s annual report says it paid £347 million in compensation to more than 86,000 claimants in 201112

FSA fines for APER breaches and market abuse

  • Dentons
  • -
  • United Kingdom
  • -
  • July 13 2012

FSA has fined Jay Rutland, a former senior broker, £30,000 and banned him for breach of the Statements of Principle for Approved Persons (APER), for engaging in market abuse by making improper disclosure and encouraging others to deal in circumstances which would have amounted to insider dealing by Mr Rutland

FSA notes PSD and EMD2 reviews

  • Dentons
  • -
  • European Union, United Kingdom
  • -
  • July 6 2012

FSA has updated its website to reflect the fact that Member States must report on the efficiency of the Payment Services Directive (PSD) and second E-Money Directive (EMD2) by November

Court says no recovery of “unauthorised” trading losses

  • Dentons
  • -
  • United Kingdom
  • -
  • July 6 2012

The High Court has held that a spread betting firm was unable to recover money it claimed a consumer owed it in respect of online spread betting losses

Fsa updates for small firms

  • Dentons
  • -
  • United Kingdom
  • -
  • June 29 2012

FSA has sent a regulation round-up to small firms

APCIMS responds on COMP

  • Dentons
  • -
  • United Kingdom
  • -
  • June 29 2012

APCIMS has responded to FSA’s consultation on changes to the Compensation sourcebook (COMP

ESMA publishes more MiFID Q&A

  • Dentons
  • -
  • European Union
  • -
  • June 29 2012

ESMA has updated its questions and answers on investor protection and intermediaries under the current MiFID

FSA publishes post-transaction KII modification

  • Dentons
  • -
  • United Kingdom
  • -
  • June 15 2012

FSA has made available a modification by consent to the requirement to provide a Key Investors Information (KII) document for a UCITS to a client before the transaction is concluded

FSCS updates on MF Global

  • Dentons
  • -
  • United Kingdom
  • -
  • June 8 2012

FSCS says it is working through claims relating to MF Global as quickly as it can, but that some of the claims have proved more complex and time-consuming than expected

FSA publishes finalised guidance on independent advice

  • Dentons
  • -
  • United Kingdom
  • -
  • June 8 2012

FSA has published finalised guidance FG1215 addressing the common points raised in response to its consultation on the rules requiring advisers to describe their services as "independent" or "restricted".(Source: FG1215: Independent and Restricted Advice

Current Search

Suggested Facets

Author

Jurisdiction

Workarea

© Copyright 2006-2013 Globe Business Publishing Ltd | Cookies | Disclaimer | Privacy policy