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Results: 1-10 of 91

Court of Appeal to consider availability of court action to top up FOS awards

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • April 9 2013

The Court of Appeal has granted a firm permission to appeal a recent High Court decision which held that complainants who accept an award of

Improving accountability of the FCA and the financial services industry through transparency and more effective disclosure

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 4 2013

Being a transparent regulator is at the heart of the approach of the new Financial Conduct Authority (FCA). Clearly there is a need to strike the

Preview 2013 (UK law)

  • Herbert Smith Freehills LLP
  • -
  • European Union, United Kingdom
  • -
  • January 15 2013

2013 will herald some significant changes to the UK legal arena, notably in the corporate area in relation to executive remuneration and narrative

With-profits mutuals FSA has "road to Damascus" experience

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 4 2013

Mutual insurers facing an uncertain future as consumer demand for with-profits products fades will undoubtedly welcome proposals published by the FSA just

Highlights from Part 1 of the FSA's consultation paper on implementation of the AIFMD

  • Herbert Smith Freehills LLP
  • -
  • European Union
  • -
  • December 6 2012

As many readers will be aware, the Alternative Investment Fund Managers Directive is due to be implemented by Member States at a national level by 22 July 2013

UK regulatory reform: consultation on the policy for the designation of investment firms for prudential supervision by the PRA

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • October 26 2012

The Bank of England has published for consultation the draft policy about the designation of investment firms for supervision by the Prudential Regulation Authority (PRA) where they are considered to be systemically importantrelevant

Court of Appeal overturns finding that customer’s investment loss was too remote

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • October 22 2012

The Court of Appeal has overturned a first instance judgment that a customer’s loss on his investment was too remote to be recoverable

FSA’s authorisations move to internal “twin peaks”

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • October 17 2012

In April 2012, the FSA moved to an ‘internal twin peaks’ model in relation to its supervisory functions, which involved splitting its integrated approach to supervision, making changes to the supervisory frameworks and risk assessment models, and reallocating supervisors between the Prudential Business Unit (PBU), headed by Andrew Bailey, and the Conduct Business Unit (CBU) headed by Martin Wheatley as FCA CEO designate

New PRA and FCA regimes for approved persons

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • October 11 2012

The FSA has published a consultation paper on the PRA and FCA regimes for approved persons (CP 1226

FSA consults on overhauled client money rules for insurance intermediaries

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • September 24 2012

The FSA has issued a consultation paper (CP1220) on significant changes to the Client Money Rules in CASS 5 which apply to insurance intermediaries ("intermediaries"

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