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Securities Borrowing and Lending Code of Guidance

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

The Securities Lending and Repo Committee of the Bank of England has published a revised version of the Securities Borrowing and Lending Code of Guidance (the Code

Policy Statement 0920: Stress and Scenario Testing - feedback on CP0824 and final rules

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • December 21 2009

The FSA has published Policy Statement 0920: Stress and Scenario Testing - feedback on CP0824 and final rules (PS0920

Wider Implications referral: Lehmans-backed structured products - update

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 3 2009

On 14 August 2009, the FSA provided an update to the Financial Ombudsman Service (FOS) on issues relating to Lehmans-backed structured products which it is considering under the "Wider Implications" process

FSA details the enhanced standards people can expect from all investment advisers

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

The FSA has issued a press statement in relation to the enhanced standards people can expect from all investment advisers as a result of the proposals contained in Consultation Paper 0918: Distribution of retail investments: Delivering the RDR (CP0918

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

Integrity: when honesty is not enough

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

Integrity is a concept usually associated with honesty

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

OFT announces criminal charges in suspected pyramid scheme case

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • October 12 2009

The Office of Fair Trading (OFT) has brought charges against three women in connection with its ongoing investigation into a suspected unlawful pyramid scheme in the South West of England and Wales

Financial services firms’ approach to UK financial sanctions

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 4 2009

The FSA has published a report from its Financial Crime and Intelligence Division entitled Financial services firms’ approach to UK financial sanctions (the Report

Large systemically important banks: addressing the too-big-to-fail problem

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • November 9 2009

The FSA has published a speech that Adair Turner (Chairman, FSA) gave at the recent Turner Review Conference