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CASS audit reports

Herbert Smith Freehills LLP
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United Kingdom
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January 31 2011

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

Acting in concert and deemed voting power: new FSA guidance

Herbert Smith Freehills LLP
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United Kingdom
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June 3 2010

On 6 April 2010, the FSA published Draft Guidance setting out its views on when persons might be "acting in concert" or hold deemed voting power for the purposes of its controller regime (the "Draft Guidance"

FSA’s corporate governance framework and intensive supervisory approach

Herbert Smith Freehills LLP
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United Kingdom
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April 14 2010

Corporate governance is currently high on the FSA's radar and it is clear that issues relating to corporate governance are a key component of the FSA's new intensive supervisory approach

Effective corporate governance: significant influence controlled functions and the Walker Review

Herbert Smith Freehills LLP
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United Kingdom
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February 4 2010

The FSA has published a consultation paper (CP103) entitled "Effective corporate governance (significant influence controlled functions and the Walker review)" which discusses the following

The Final Recommendations of the Walker Review on fund managers

Herbert Smith Freehills LLP
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United Kingdom
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December 21 2009

The Final Recommendations of the Walker Review were published on 26 November

The approved persons regime significant influence function review

Herbert Smith Freehills LLP
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United Kingdom
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September 14 2009

PS 0914 was published at the end of July and provides feedback on the proposals relating to the approved persons regime set out in CP 0825 as well as setting out the final rules

Search results

CASS audit reports

Acting in concert and deemed voting power: new FSA guidance

FSA’s corporate governance framework and intensive supervisory approach

Effective corporate governance: significant influence controlled functions and the Walker Review

The Final Recommendations of the Walker Review on fund managers

The approved persons regime significant influence function review

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