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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

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

  • Norton Rose Fulbright 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

FSA speech - Delivering credible deterrence

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

The FSA has published a speech by Margaret Cole (Director of Enforcement, FSA) entitled Delivering credible deterrence

Setting out the FSA’s strategy and approach to fighting fraud

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

On 11 September 2009, the FSA published a speech by Margaret Cole, Director of Enforcement, FSA

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

  • Norton Rose Fulbright 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

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

  • Norton Rose Fulbright 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

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"

FSA and police contact 1,000 share fraud targets after seizing another boiler room ‘master list’

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

The FSA has issued a press release stating that it and the City of London Police have contacted 1,000 people across the UK to warn them that their personal details are on a 'master list' being used by fraudsters to target and sell them worthless shares

Financial Promotions Industry Update No.3

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

On 1 October 2009, the FSA published its latest Financial Promotions Industry Update which covered stand-alone compliance

FSA final notices

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 18 2009

Morgan Stanley has been fined £1.4 million for breaches of Principles 2 and 3 in relation to trader mis-marking which led to the firm making a negative adjustment of $120 million