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Results: 1-10 of 14

Complaints handling powers and the Human Rights Act

  • Shepherd & Wedderburn LLP
  • -
  • United Kingdom
  • -
  • September 3 2008

The Financial Ombudsman Service (FOS) was established under the Financial Services and Markets Act 2000 (FSMA) in order to resolve certain types of disputes between firms and their retail clients in a relatively fast, informal and independent process

FSA update - 15 November 2010

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • November 16 2010

The FSA has published Policy Statement PS1017: "Taping of mobile phones - Feedback on CP107 and final rules"

FSA update - 29 October 2012

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • October 29 2012

In separate actions concluded in Final Notices dated 17 October 2012 and 20 August 2012 respectively but released last week, the FSA has imposed financial penalties of £205,128 and £49,000 respectively on Plus500UK Limited ("Plus500") and James Sharp and Company ("James Sharp") for failures in their transaction reporting systems

Revising the UK remuneration code: considerations for investment managers

  • Dechert LLP
  • -
  • United Kingdom
  • -
  • September 30 2010

The United Kingdom Financial Services Authority (the "FSA") issued a consultation paper on 29 July 2010 proposing revisions to its remuneration code (the "Code"

FSA consults on pension risk and ICAS

  • Dentons
  • -
  • United Kingdom
  • -
  • February 18 2011

FSA is consulting on guidance on the approach regulated firms should take when working out their capital requirements in relation to defined benefit schemes they operate for the benefit of current and former employees

On the horizon for 2013

  • Dentons
  • -
  • United Kingdom
  • -
  • January 17 2013

Our experts select the highlights likely to impact businesses in the UK generally, so you can check quickly

General counsel update

  • Herbert Smith Freehills LLP
  • -
  • European Union, United Kingdom
  • -
  • June 17 2011

This is the twenty-fifth in our series of general counsel updates which aim to summarise major developments in key areas

Time (bar) is of the essence

  • RPC
  • -
  • United Kingdom
  • -
  • September 19 2011

Last Thursday marked the third anniversary of the collapse of Lehman Brothers which may have drawn a line in the sands of time for complaints about the mis-selling of investments before September 2005

FSA publishes quarterly consultation

  • Dentons
  • -
  • United Kingdom
  • -
  • March 9 2012

FSA's latest quarterly consultation seeks views on: changes to the Training and Competence Sourcebook (TC) to add a new qualification to the list

Preparations for the division of the FSA Handbook

  • Stephenson Harwood LLP
  • -
  • United Kingdom
  • -
  • July 2 2012

The FSA has published a one-minute guide outlining its plans for dividing the FSA Handbook into two separate Handbooks; one for the Financial Conduct Authority (FCA) and one for the Prudential Regulation Authority (PRA

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