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Results: 1-10 of 92

FSA client assets sourcebook: new text

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • September 30 2008

The FSA has concluded its consultation in respect of a review of the provisions of its Client Assets Sourcebook (CASS) and has published its feedback and made rules in Policy Statement 0810

Update on Lehman Brothers insolvency proceedings in the US, UK and Japan

  • Locke Lord LLP
  • -
  • Japan, United Kingdom, USA
  • -
  • October 7 2008

On September 20, 2008, the Bankruptcy Court approved the sale of certain assets of Lehman Brothers Holdings Inc. ("LBHI") and Lehman Brothers Inc. ("LBI"), including those related to its Canadian Capital Markets and Investment Banking businesses, to Barclays Capital, Inc. ("Barclays"

Integration of the Treating Customers Fairly (TCF) initiative into the core supervisory work of the Financial Services Authority (FSA)

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • December 5 2008

The FSA has brought forward the date from which it will fully integrate TCF into its supervisory work from September 2009 to January 2009

FSA consults on changes to short selling rules

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • January 7 2009

We reported last year on the SEC's and FSA's bans on short selling in financial companies

FSA lifts short selling ban

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • January 16 2009

We reported last week that the FSA was consulting on whether to lift its ban on short selling of stocks in financial companies and certain amendments to the disclosure rules in connection with short positions

Court of Appeal signals cooperation with SEC to combat investment fraud

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • February 3 2009

The English Court of Appeal has shown its readiness to cooperate with foreign regulators in this case, the US Securities and Exchange Commission by agreeing to freeze allegedly suspect assets

FSA consults on permanent short selling rules

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • February 10 2009

We have reported previously on the FSA's temporary ban on short selling of stocks in the UK financial sector, and the disclosure requirements that applied to existing short positions

FSA wins appeal against Fox Hayes for breach of financial promotions regime

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • February 23 2009

The Court of Appeal has awarded victory to the Financial Services Authority (FSA) in a case against solicitors Fox Hayes regarding the approval of financial promotions on behalf of others

FSA publishes its 200910 Business Plan

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • February 24 2009

On 9 February 2009, the Financial Services Authority (FSA) published its Business Plan for the financial year 1 April 2009 to 30 March 2010 which addresses the risks highlighted in the Financial Risk Outlook released on the same day

SEC adopts amendments to Rules 144 and 145

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • November 21 2007

On November 15, 2007, the SEC adopted amendments to Rules 144 and 145