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FSA bans firms

Dentons
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United Kingdom
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January 16 2009

FSA has banned several firms and individuals: one firm and its owner because the owner had not paid an FOS award leaving the firm with no competent and prudent management; two for not filing their RMARs; one for having inadequate resources; and one individual for various failings, including fraud convictions

FSA clarifies directors’ disclosure

Dentons
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United Kingdom
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January 16 2009

FSA has clarified that directors should seek clearance when they plan to use their shares in their company as collateral for a financing transaction

FSA publishes COBS review findings

Dentons
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United Kingdom
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January 9 2009

FSA has carried out a post-implementation review of COBS

Treasury looks to the future

Dentons
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United Kingdom
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May 8 2009

Treasury has published a report of the Financial Services Competitiveness Group, of which the Chancellor is a co-chair

FSA tells firms to think about swine flu

Dentons
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United Kingdom
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May 8 2009

FSA has urged firms to look at contingency plans for dealing with issues that may arise from a swine flu epidemic

LIBA and SIFMA to merge

Dentons
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United Kingdom
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May 8 2009

LIBA and SIFMA are to bring together their London-based operations into a single European organisation under LIBA's Director General

FSA helps find a boiler room

Dentons
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United Kingdom
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May 8 2009

FSA has worked with UK police forces as part of a Europe-wide investigation into share fraud and boiler room activities which have led to £28 million losses for investors