We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 567

The draft directive on alternative investment fund managers

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • March 25 2010

On 4 March 2009, the Commission published its Communication for the Spring European Council which stated that in April 2009 the Commission would propose:"A comprehensive legislative instrument establishing regulatory and supervisory standards for hedge funds, private equity and other systemically important market players."

MiFID II MiFIR series - corporate governance

  • Norton Rose Fulbright LLP
  • -
  • European Union, United Kingdom
  • -
  • October 9 2014

The Markets in Financial Instruments Directive (MiFID) is one of the cornerstones of EU financial services law setting out which investment services

FSA enforcement

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • August 6 2009

The FSA has cancelled a mortgage broker’s permission to conduct regulated mortgage business (Newcastle Home Loans Limited , 20 July 2009) following the non-payment of a fine of £170,000 issued in February 2009 for submitting mortgage applications containing false information, such as the purchase price on which the loan was calculated, which induced the lender to advance up to 126 of the actual purchase price, and allowing David Purdie to act as Chief Executive without FSA approval (who was also banned) (Newcastle Home Loans Limited and NHL - David Purdie , 26 February 2009

Structured investment products suitability assessment template - FAQs

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

The FSA has published frequently asked questions that are designed to help firms understand and interpret the structured investment products suitability assessment template that was published on 27 October 2009

Avoiding corruption risks in the city: the Bribery Act 2010

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

The City of London Corporation has published a report prepared by Transparency International which is entitled Avoiding Corruption Risks in the City: The Bribery Act 2010

BBA response to European Commission communication on bank resolution funds

  • Norton Rose Fulbright LLP
  • -
  • European Union, United Kingdom
  • -
  • May 31 2010

The British Bankers' Association (BBA) has issued a short press statement concerning the European Commission's proposal on bank resolution funds

The new FCA consumer credit regime

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 29 2014

On 28 February 2014, the FCA published Policy Statement 143: Final rules for consumer credit firms (the PS). In the PS the FCA set out its final

Integrity: when honesty is not enough

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • February 8 2010

Integrity is a concept usually associated with honesty

The Queen's Speech - the Financial Services Bill

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • November 19 2009

In July 2009 the Government published a White Paper which was entitled Reforming Financial Markets

The Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2009

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • November 30 2009

The Office of Public Sector Information (OPSI) has published The Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2009