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Results: 1-10 of 63

FSA announces consultation on Remuneration Code guidance

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • August 11 2011

On 5 August 2011, the FSA announced a four-week consultation in respect of two proposed 'Dear CEO' letters, which set out further draft guidance to assist firms in complying with the revised FSA Remuneration Code (the "Code"

Draft Bill and White Paper published detailing sweeping reforms to UK regulatory architecture

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • June 16 2011

Today, the Government published a White Paper and draft Bill setting out its detailed blueprint for reform of financial regulation in the UK

FSA publishes proposed remuneration code guidance

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • April 27 2011

On 21 April 2011, the FSA published a number of draft guidance documents to assist firms in complying with the revised FSA Remuneration Code (the "Code"

Client money and assets: emerging issues

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 31 2011

FSA fines for client money and asset failings continue to make the headlines

The new financial services regulatory architecture: influencing the landscape

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 22 2011

The Government's proposals to reform the UK financial services architecture are well underway, following publication of HM Treasury's consultation paper on 17 February 2011

Acting in concert and shareholder activism

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 14 2011

On 6 February 2011, the FSA's Guidance on concert party arrangements for the control of UK financial institutions (the "Guidance") came into force

UK regulatory architecture reforms: Government consults on framework details

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • February 17 2011

Today, HM Treasury published its latest consultation paper on the Government's sweeping reforms to the UK financial services regulatory architecture

Consultation on the review of the Markets in Financial Instruments Directive: investment advice and the FSA's retail distribution review

  • Herbert Smith Freehills LLP
  • -
  • European Union, United Kingdom
  • -
  • February 11 2011

The European Commission published its consultation (the "Consultation") on the review of the Markets in Financial Instruments Directive ("MiFID") in December 2010

CASS audit reports

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 31 2011

The CASS audit report sets out whether a firm has complied with CASS rules and explains the extent of any breaches

Prohibition on the use of general liens in custody agreements

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 31 2011

Subject to certain exceptions, the use of general liens in custody agreements will be prohibited from 1 March 2011

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