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Policy Statement 096: Regulating retail banking conduct of business - Feedback on CP0819 and final rules

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

In November 2008, the FSA published Consultation Paper 0819: Regulating retail banking conduct of business (CP0819

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

Disclosure of CfDs - questions & answers

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

In March 2009 the FSA published Policy Statement 093: Disclosure of Contracts for Difference - Feedback on CP0817 and final rules (PS093

FSA publishes industry-level complaints data to increase transparency

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 7 2009

The FSA has for the first time published aggregate figures showing how many complaints regulated firms have received and how they have dealt with them

Market abuse: Market Watch issue 33

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 7 2009

The FSA has published issue 33 of its Market Watch newsletter

IMA announces closure of UK zeros sector

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 7 2009

The Investment Management Association (IMA) has announced that its UK zeros sector will close at the end of September 2009 because the five funds it now contains are not sufficient to give consumers and financial advisers a fair comparison

Securities: List! issue no. 22

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 7 2009

The UK Listing Authority (UKLA) has published issue 22 of its newsletter List!

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