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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

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

Financial Services Authority (FSA) Consultation Paper (CP): Close Links

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • December 19 2007

In December 2007, the FSA published Consultation Paper CP0721 entitled 'Close Links', in which it reviews existing close links requirements

FSA reorganisation

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • January 18 2008

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

New business plan for the Financial Services Authority

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • February 13 2008

On 6 February, the Financial Services Authority (FSA) published its 20089 Business Plan setting out its priorities for the year

FSA announces more help for small firms on treating customers fairly (TCF)

  • Locke Lord LLP
  • -
  • United Kingdom
  • -
  • February 22 2008

The FSA's TCF initiative is a core part of its move to more principle based regulation

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