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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

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

FSA issues consultation paper on implementation of client money and asset return policy

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • March 9 2011

As part of the Financial Services Authority's (FSA) steps to strengthen the regime relating to client asset protection, in October 2010 it produced Policy Statement 1016, which set out its policy on Client Money and Asset Returns (CMAR

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 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

UK: financial Conduct Authority increases scrutiny of the insurance sector

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom, USA
  • -
  • February 13 2014

The UK's Financial Conduct Authority (FCA) has indicated that it is likely to exercise its competition functions in the insurance sector in the next

FCA Chairman outlines areas for change in speech to TheCityUK seminar

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • June 19 2013

In his first major speech as Chairman of the FCA, John Griffith-Jones told attendees at TheCityUK's London seminar on 13 June how he felt that both

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"

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

  • Edwards Wildman Palmer 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"