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Results: 1-10 of 262

The small firms financial crime review

  • Norton Rose 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 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 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 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 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 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

The FSA’s markets regulatory agenda

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

On 25 May 2010, the FSA published a paper which was entitled The FSA's markets regulatory agenda

FSA's approach to intensive supervision

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

On 18 May 2010, the FSA published a speech given by Jon Pain (Managing Director, Supervision, FSA) entitled FSA's approach to intensive supervision

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

One arrested in FSA and CoLP insider dealing investigation

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 21 2010

The FSA has issued a press notice stating that investigators from its Enforcement and Financial Crime Division acting with the assistance of the City of London Police (CoLP) have conducted a search operation at a residential address in East London

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