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Financial Conduct Authority provides guidance on its approach to attestations for FCA authorized firms

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • August 29 2014

On August 26, the UK Financial Conduct Authority (FCA) published a letter dated August 22, 2014 (Letter) addressed to the FCA Practitioner Panel. The

FSA updates guide to the new PRA and FCA handbooks

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • February 22 2013

On February 19, the UK Financial Services Authority (FSA) published an updated "one-minute guide" summarizing the changes to the FSA Handbook that

FSA fines manager for systemic suitability failings

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • November 16 2012

On November 14, the UK Financial Services Authority (FSA) announced that it had fined Savoy Investment Management Limited (Savoy) £412,000 (approximately $653,000) for failing to take reasonable care to ensure the suitability of the investment portfolios of its wealth management clients

FSA requires asset managers to address conflicts of interest

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • November 16 2012

On November 9, the UK Financial Services Authority (FSA) issued a paper entitled “Conflicts of interest between asset managers and their customers: Identifying and mitigating the risks” (the Paper

FSA consults on operation of FCA and sets out PRA’s approach

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • October 19 2012

On October 16, the UK Financial Services Authority (FSA) published a consultation paper entitled Journey to the FCA, regarding how its successor regulator the Financial Conduct Authority (FCA) will operate

HM Treasury consults on financial services regulatory changes

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • October 19 2012

On October 15, HM Treasury published draft secondary legislation relating to the Financial Services Bill which is currently being considered by Parliament

FSA warns firms about financial promotions

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • September 28 2012

On September 21, the UK Financial Services Authority (FSA) released a speech entitled “Financial Promotions: Keeping Connected and Compliant” delivered by Clive Gordon, FSA’s Head of Conduct Risk

FSA consults on rules changes linked to handover to PRA and FCA

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • September 14 2012

On September 12, the UK Financial Services Authority (FSA) published a consultation paper (CP1224- Regulatory Reform) regarding changes to the existing FSA Handbook on aspects of the regulatory regime which will apply after the date in 2013 (currently expected to be about April 2013) when the FSA will be replaced by the two successor regulators the Prudential Regulatory Authority (PRA) (which will be a subsidiary of the Bank of England) and the Financial Conduct Authority (FCA

Treasury consultation on financial sector resolution proposals

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • August 3 2012

On August 1, HM Treasury published a consultation paper Financial Sector Resolution: Broadening the Regime setting out proposals and questions for consultation on enhancing the mechanisms available for dealing with the failure of systemically important non-bank financial sector entities

FSA publishes guide to PRA and FCA handbooks

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • June 8 2012

On June 1, the UK Financial Services Authority (FSA) published a short guide to its plans for dividing the FSA Handbook into handbooks for the its two successor regulators the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA), when the PRA and the FCA acquire their legal powers, and the FSA is abolished in its current form