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Results: 1-10 of 553

The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2010

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 29 2010

There has been published on the Office of Public Sector Information website, The Financial Services and Markets Act 2000 (Financial Promotion) (Amendment) Order 2010 (the Order

FSA enforcement

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 21 2010

The Financial Services and Markets Tribunal (the Tribunal) has upheld the FSA's refusal of a sole trader mortgage broker's application for Part IV permission on the grounds of repeated failure to file an RMAR

Supplementary annex to good and poor practices in Key Features Documents

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 11 2009

The FSA has published a supplementary annex to its report on good and poor practices in Key Features Documents which was originally published on 28 September 2007

Updated guide to MiFID transaction reporting for the FSA via the CREST ARM

  • Norton Rose LLP
  • -
  • European Union, United Kingdom
  • -
  • August 6 2009

Euroclear has published a guide to MiFID transaction reporting for the FSA via the CREST ARM (the Guide) which is aimed at helping CREST members meet both their own Markets in Financial Instruments Directive (MiFID) and FSA transaction reporting obligations and any reporting agent responsibilities they have to others

The Turner Review: a regulatory response to the global banking crisis

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 23 2009

The FSA has published the Turner Review together with a supporting Discussion Paper

Chhabra & Patel

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • January 18 2010

The Financial Services and Markets Tribunal (the Tribunal) has found that two friends engaged in market abuse

OFT announces criminal charges in suspected pyramid scheme case

  • Norton Rose 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

The Financial Markets and Insolvency (Settlement Finality) (Amendment) Regulations 2009

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • July 27 2009

The Treasury has published the Financial Markets and Insolvency (Settlement Finality) (Amendment) Regulations 2009, which will come into force on 1 October 2009

Conduct of Business Sourcebook (COBS) post implementation review: final statement on findings

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 29 2010

The FSA has published its final statement on its findings following the Conduct of Business (COBS) post-implementation review

Banking crisis: dealing with the failure of the UK banks

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 11 2009

The House of Commons Treasury Committee (the Committee) has published its seventh report of session 200809 entitled Banking crisis: Dealing with the failure of the UK banks (the Report

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