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Results: 1-10 of 366

FSA final notices

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 4 2009

A hedge fund's portfolio manager, and approved person, has been prohibited and fined £35,000 for lack of honesty and integrity in breach of Statement of Principle 1 due to his deliberate mismarking of trading positions to conceal losses and avoid losing his job in accordance with a stop loss procedure

Policy Statement 097: Financial services compensation scheme: review of limits - Feedback on CP0815 and made rules for non-deposit limits

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 4 2009

In October 2008, the FSA published Consultation Paper 0815: Financial Services Compensation Scheme: Review of limits (CP0815

Handbook Development newsletter (issue 110)

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 4 2009

The FSA has published issue 110 of its Handbook Development newsletter

IMA publishes matrix on use of dealing commissions

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 18 2009

The Investment Management Association (IMA) has published a matrix which provides a snapshot as at March 2009 of practices across buy-side firms showing what services are paid for out of client commissions charged on trade executions and which functions within firms pay for and use those services

Commission proposes better investor protection measures for packaged retail investment products

  • Norton Rose Fulbright LLP
  • -
  • European Union
  • -
  • May 4 2009

The European Commission has published a press release stating that it is committed to delivering important improvements to investor protection measures for the main investment products bought by retail investors

EC speech - Restoring consumer trust in retail financial services

  • Norton Rose Fulbright LLP
  • -
  • European Union
  • -
  • May 4 2009

The European Commission has published a speech that Meglena Kuneva (European Consumer Commissioner) gave at the DECO seminar on financial services and consumer interest

EC speech at the press conference on financial package (including AIFM Directive)

  • Norton Rose Fulbright LLP
  • -
  • European Union
  • -
  • May 4 2009

The European Commission has published a speech that Charlie McCreevy (European Commissioner for Internal Market and Services) gave at the press conference on financial package

European Commission updates MiFID Q&As and launches dedicated MiFID Q&A website

  • Norton Rose Fulbright LLP
  • -
  • European Union
  • -
  • May 4 2009

The European Commission has moved its ‘Your questions on MiFID’ to a separate dedicated web site for questions related to Single Market Legislation

IOSCO speech - Who should do what in the global financial architecture... the art of the possible

  • Norton Rose Fulbright LLP
  • -
  • Global
  • -
  • May 4 2009

The International Organization of Securities Commissions (IOSCO) has published a speech by its Chairperson Jane Diplock (JD

European Commission updates MiFID Q&A website

  • Norton Rose Fulbright LLP
  • -
  • European Union
  • -
  • May 11 2009

The European Commission has updated its questions and answers on the Markets in Financial Instruments Directive

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