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Results: 1-10 of 266

Financial services updater - 4 February 2014: collective investment schemes

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 4 2014

The Financial Markets Law Committee (FMLC) has published its response to Consultation Paper 135: Review of the client assets regime for investment

Financial services updater - 4 February 2014: FCA PRA Handbook

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 4 2014

The PRA consults on administration instruments. An administration instrument is used to make corrections to PRA Handbook provisions. The corrections

Financial services updater 13 January 2014: retail

  • Norton Rose Fulbright LLP
  • -
  • Global, United Kingdom
  • -
  • January 13 2014

The International Organization of Securities Commissions (IOSCO) has published its final report on the regulation of retail structured products

Crowdfunding

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • January 10 2014

Crowdfunding, the term used to describe the increasingly popular method of financing, or re-financing individuals, firms, charities or activities by

The small firms financial crime review

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

In April 2008, the FSA launched a major thematic project which was aimed at establishing the extent to which small firms across the financial services industry addressed financial crime risks in their businesses

The six-month time limit

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

The Financial Ombudsman Service (FOS) has published an online technical resource note that explains the "six-month time limit" for referring complaints to it

FSA enforcement

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

A former inter-dealer broker has been prohibited in connection with deliberate unauthorised trades

Something old and something new: Novel and familiar drivers of the latest crisis

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

The FSA has published a speech given by Adair Turner (Chairman, FSA) entitled Something old and something new: Novel and familiar drivers of the latest crisis

The FSA’s markets regulatory agenda

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

The FSA has published a paper which is entitled The FSA's markets regulatory agenda

Queen’s Speech - Financial Services Regulation Bill

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

A transcript of the Queen's Speech which outlines the Government's priorities for the coming Parliamentary year has been published on the Number 10 website