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Treating customers fairly in wholesale markets

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • May 8 2008

Sarah Wilson, Financial Services Authority (FSA) Director of the Retail Firms Division, gave a speech on Treating Customers Fairly (TCF) in wholesale markets at the Protiviti breakfast meeting on 15 April 2008

Chief Executive of the FSA gives update on UK regulatory reform

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • January 4 2011

We have reported previously on proposals to establish a 'twin peaks' regulatory approach in the UK

FSA writes to compliance officers regarding adequate protection for clients' assets

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • April 15 2009

On 20 March 2009, the Financial Services Authority (FSA) wrote to compliance officers of all the firms which hold client money permissions to remind them of their responsibilities in abiding with Principle 10: "A firm must arrange adequate protection for clients' assets when it is responsible for them"

FSA issues reminder on its approval and interview process for significant influence functions

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • October 27 2009

On 14 October 2009, the FSA wrote to the CEOs of certain regulated firms to clarify its new approach to the approval and supervision of persons performing significant influence functions (SIFs

Financial Service Authority wins appeal case on co-operation with overseas regulators

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • March 4 2010

The Financial Services Authority (FSA) went to the Court of Appeal to seek clarification regarding its obligation to co-operate with the Securities and Exchange Commission (SEC

Lehman Brothers: client money appeal

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • September 1 2010

Just as this issue of the Insurance and Reinsurance Review was going to press, the Court of Appeal handed down its decision in the appeal in CRC Credit Fund Ltd & Ors v GLG Investments Plc (Sub-Fund: European Equity Fund) & Ors (reported at 2010 EWCA Civ 917) against the decision of Mr. Justice Briggs, reported in our March 2010 issue

Report on the future of the UK financial services sector

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • May 19 2009

On 7 May 2009, the Financial Services Global Competitiveness Group (FSGCG), which is co-chaired by the Chancellor, Alistair Darling, and former Citi Chairman, Sir Win Bischoff, produced a report on the future of the UK's financial services sector

FSA reorganisation

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • January 18 2008

On 10 January, the FSA announced the appointment, as of 1 February 2008, of the following

FCA issues its first public sanction for breaches of the payment services regulations

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • May 9 2013

On 30 April 2013, the Financial Conduct Authority (FCA) issued a public censure to Horn Express Ltd (formerly Qaran Express Money Transfer Limited

The Financial Service Authority (FSA) calls for increased co-operation in Europe

  • Edwards Wildman Palmer LLP
  • -
  • European Union, United Kingdom
  • -
  • April 10 2008

The FSA has restated the UK's support for the creation of a single market in financial services in Europe, and has called for further development of the existing arrangements for regulatory cooperation among national regulators