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Results: 1-10 of 302

FSA and FINMA confirm UBS enforcement action

  • Dentons
  • -
  • Switzerland, United Kingdom
  • -
  • February 10 2012

FSA has published a statement confirming both it and the Swiss Financial Market Supervisory Authority (FINMA) have commenced formal enforcement investigations against UBS in respect of trading losses incurred by the UBS AG London branch

FSA fines and bans over misconduct

  • Dentons
  • -
  • United Kingdom
  • -
  • February 3 2012

FSA has fined a trader and former compliance officer £130,000 for failing to make reasonable enquiries before selling his firm's shareholding in Punch Taverns

FSA finalises CCP risk management guidance

  • Dentons
  • -
  • United Kingdom
  • -
  • February 3 2012

FSA has published its finalised guidance on its reviews of counterparty credit risk management by central counterparties

ECON debates CRA changes

  • Dentons
  • -
  • United Kingdom
  • -
  • January 27 2012

The Economic and Monetary Affairs Committee has started its debate on changes to laws relating to credit rating agencies

FSA consults on strategy trades

  • Dentons
  • -
  • United Kingdom
  • -
  • January 27 2012

FSA has published a guidance consultation on reporting strategy trades

FSA makes new CASS rules

  • Dentons
  • -
  • United Kingdom
  • -
  • January 27 2012

FSA has made new rules which make changes to its Client Assets Sourcebook in respect of custody liens

FSA feeds back on gas emissions auctioning

  • Dentons
  • -
  • United Kingdom
  • -
  • January 20 2012

FSA has published its feedback statement on its approach to regulating and supervising Recognised Auction Platforms (RAPs) for the auctioning of greenhouse gas emission allowances

FSA makes auction platform rules

  • Dentons
  • -
  • United Kingdom
  • -
  • January 6 2012

FSA has made rules and guidance to set out its approach to how it will approve and supervise Recognised Auction Platforms (RAPs

Select committee announces CRA inquiry

  • Dentons
  • -
  • United Kingdom
  • -
  • December 22 2011

A Treasury Select Committee has announced a hearing into Credit Rating Agencies

FSA bans and fines investment bank adviser

  • Dentons
  • -
  • United Kingdom
  • -
  • December 22 2011

Following FSA’s action in 2009 against UBS, it has banned and fined Jaspreet Singh Ahuja, a former client adviser at UBS, £150,000 for breach of Principle 1 of its Statements of Principles and Code of Conduct for Approved Persons and for not being a fit and proper person

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