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Results: 1-10 of 46

FSA announces consultation on Remuneration Code guidance

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • August 11 2011

On 5 August 2011, the FSA announced a four-week consultation in respect of two proposed 'Dear CEO' letters, which set out further draft guidance to assist firms in complying with the revised FSA Remuneration Code (the "Code"

Draft Bill and White Paper published detailing sweeping reforms to UK regulatory architecture

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • June 16 2011

Today, the Government published a White Paper and draft Bill setting out its detailed blueprint for reform of financial regulation in the UK

FSA publishes proposed remuneration code guidance

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • April 27 2011

On 21 April 2011, the FSA published a number of draft guidance documents to assist firms in complying with the revised FSA Remuneration Code (the "Code"

Client money and assets: emerging issues

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 31 2011

FSA fines for client money and asset failings continue to make the headlines

The new financial services regulatory architecture: influencing the landscape

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 22 2011

The Government's proposals to reform the UK financial services architecture are well underway, following publication of HM Treasury's consultation paper on 17 February 2011

Acting in concert and shareholder activism

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 14 2011

On 6 February 2011, the FSA's Guidance on concert party arrangements for the control of UK financial institutions (the "Guidance") came into force

UK regulatory architecture reforms: Government consults on framework details

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • February 17 2011

Today, HM Treasury published its latest consultation paper on the Government's sweeping reforms to the UK financial services regulatory architecture

Prohibition on the use of general liens in custody agreements

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 31 2011

Subject to certain exceptions, the use of general liens in custody agreements will be prohibited from 1 March 2011

Client Assets Unit - increased firm visits and enforcement actions

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 31 2011

It is clear that the FSA regards client asset failings as an industry-wide problem and has established a specialist Client Assets Unit (Unit) to tackle these failings

Intra-group client money deposits

  • Herbert Smith Freehills LLP
  • -
  • European Union, United Kingdom
  • -
  • January 31 2011

To prevent intra-group contagion (a situation painfully illustrated by the placement of 50 of Lehman Brothers International (Europe)'s client money with a group bank which became insolvent), firms will be subject to a 20 maximum limit on intra-group client money deposits in client bank accounts from 1 June 2011