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Results: 1-10 of 17

Effective corporate governance: significant influence controlled functions and the Walker Review

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • February 4 2010

The FSA has published a consultation paper (CP103) entitled "Effective corporate governance (significant influence controlled functions and the Walker review)" which discusses the following

CASS operational oversight controlled function (CF10a) and CMAR

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 31 2011

All firms holding client money or assets must apportion responsibility for CASS operational oversight to an appropriate senior manager or director performing a significant influence function (SIF) within the firm

Financial Services (Banking Reform) Bill laid before Parliament - Regulator to be given power to enforce full separation

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • February 12 2013

The Financial Services (Banking Reform) Bill (Bill) was introduced to Parliament on 4 February 2013. On the same day, the Government published its

An insight into the FSA's implementation of the new financial services regulatory structure and concerns

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • October 15 2010

HM Treasury has very recently published a memorandum submitted by the FSA in response to its inquiry into the Government's proposals for reform of financial regulation

Review of the Client Assets Sourcebook

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 30 2010

The FSA today published Consultation Paper 109 which includes the following proposals for enhancing its Client Assets Sourcebook (CASS

Acting in concert and deemed voting power: new FSA guidance

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • June 3 2010

On 6 April 2010, the FSA published Draft Guidance setting out its views on when persons might be "acting in concert" or hold deemed voting power for the purposes of its controller regime (the "Draft Guidance"

Prohibition on the use of general liens in custody agreements

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 31 2011

Subject to certain exceptions, the use of general liens in custody agreements will be prohibited from 1 March 2011

UK regulatory reform - responses to the government consultation on "a new approach to financial regulation

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • November 26 2010

HM Treasury has published a summary of responses to its consultation on the reform of the UK financial services regulatory regime

The Lehman client money judgment: Supreme Court upholds Court of Appeal decision

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 1 2012

The Supreme Court handed down its judgment in relation to the client money application in the matter of Lehman Brothers International (Europe) (LBIE

FSA’s corporate governance framework and intensive supervisory approach

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • April 14 2010

Corporate governance is currently high on the FSA's radar and it is clear that issues relating to corporate governance are a key component of the FSA's new intensive supervisory approach

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