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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

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

FMLC publishes comments on HM Treasury proposals for new UK regulatory structure

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • December 2 2011

On November 22, the Financial Markets Law Committee (FMLC) published its final response comments to HM Treasury's June 2011 consultation on the government’s new UK financial services regulatory structure

FSA obtains High Court injunction against market manipulation

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • September 16 2011

On September 1, the UK Financial Services Authority (FSA) announced that it had obtained an interim High Court injunction preventing a number of companies and individuals from market manipulating in respect of certain UK-listed shares