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The PRA Remuneration Code's revised clawback obligations

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 1 2014

On 30 July 2014, the PRA published a policy statement (PS714) announcing the revised clawback obligations which will apply to PRA-regulated firms in

Financial services updater - 4 February 2014: collective investment schemes

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 4 2014

The Financial Markets Law Committee (FMLC) has published its response to Consultation Paper 135: Review of the client assets regime for investment

Crowdfunding

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • January 10 2014

Crowdfunding, the term used to describe the increasingly popular method of financing, or re-financing individuals, firms, charities or activities by

FSA enforcement

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 24 2009

The FSA has cancelled a firm’s Part IV permission for a failure to maintain capital resources equal to or in excess of its relevant capital resources requirement in breach of Principle 4 (financial prudence

CCD Bulletin October 2009 - February 2010

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 22 2010

The Department for Business Innovation and Skills (BIS) has published the latest issue of its CCD Bulletin

The Financial Services and Markets Act 2000 (Amendments to Part 18A etc) Regulations 2010

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 15 2010

On the Office of Public Sector Information website there has been published a draft of The Financial Services and Markets Act 2000 (Amendments to Part 18A etc) Regulations 2010

Paul Tucker speech at Barclays Annual Lecture

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • November 2 2009

Paul Tucker, Deputy Governor, Financial Stability, Bank of England, gave a speech at the Barclays Annual Lecture in which he outlined the Bank’s thinking on the development of a "toolkit" of macro-prudential instruments with the prime purpose of making the financial system more resilient to swings in the credit cycle

Consultation paper 0918: distribution of retail investments: delivering the RDR

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • June 29 2009

The FSA has published a Consultation Paper on its Retail Distribution Review (RDR

The small firms financial crime review

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

In April 2008, the FSA launched a major thematic project which was aimed at establishing the extent to which small firms across the financial services industry addressed financial crime risks in their businesses

FSA speech - delivering intensive supervision and credible deterrence

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • March 16 2009

The FSA has published a speech by Hector Sants (CEO, FSA) entitled "Delivering intensive supervision and credible deterrence"