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Results: 1-10 of 553

Supplementary annex to good and poor practices in Key Features Documents

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 11 2009

The FSA has published a supplementary annex to its report on good and poor practices in Key Features Documents which was originally published on 28 September 2007

Client Money and Asset report Dear CEO letter - follow up

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 28 2010

On 19 January 2010, the FSA published a Dear CEO letter it had sent to firms drawing their attention to concerns over the handling of client money and assets

The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2010

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 29 2010

There has been published on the Office of Public Sector Information website, The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2010 (the Order

FSA speech - delivering intensive supervision and credible deterrence

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 16 2009

The FSA has published a speech by Hector Sants (CEO, FSA) entitled "Delivering intensive supervision and credible deterrence"

Implementation of financial stability measures for Lloyds Banking Group and Royal Bank of Scotland

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • November 9 2009

Following discussions with Lloyds Banking Group (Lloyds) and Royal Bank of Scotland (RBS) in respect of their participation in the Government’s Asset Protection Scheme (APS), HM Treasury has announced that Lloyds will not participate in the APS and instead will raise additional private sector capital and pay a fee to the taxpayer for the implicit protection provided to date

FSA publishes policy statement on the approved persons regime

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • August 3 2009

The FSA has confirmed an extension of the approved persons regime for those that perform a ‘significant influence’ function at firms

ICGN Conference on Corporate Governance - Check against delivery

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • April 5 2010

HM Treasury has published a speech that Paul Myners (Financial Services Secretary) gave at the ICGN Conference on Corporate Governance

Chhabra & Patel

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • January 18 2010

The Financial Services and Markets Tribunal (the Tribunal) has found that two friends engaged in market abuse

AIMA breakfast address on the Alternative Investment Fund Management Directive

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • August 11 2009

On 7 July 2009, HM Treasury has published the breakfast address that Paul Myners (Financial Services Secretary to HM Treasury) gave to AIMA on the Commission’s proposed Directive on alternative investment fund management

Securities Borrowing and Lending Code of Guidance

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • August 6 2009

The Securities Lending and Repo Committee of the Bank of England has published a revised version of the Securities Borrowing and Lending Code of Guidance (the Code

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