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Results: 1-10 of 470

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

OFT announces criminal charges in suspected pyramid scheme case

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • October 12 2009

The Office of Fair Trading (OFT) has brought charges against three women in connection with its ongoing investigation into a suspected unlawful pyramid scheme in the South West of England and Wales

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

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

Updated guide to MiFID transaction reporting for the FSA via the CREST ARM

  • Norton Rose LLP
  • -
  • European Union, United Kingdom
  • -
  • August 6 2009

Euroclear has published a guide to MiFID transaction reporting for the FSA via the CREST ARM (the Guide) which is aimed at helping CREST members meet both their own Markets in Financial Instruments Directive (MiFID) and FSA transaction reporting obligations and any reporting agent responsibilities they have to others

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

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