We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Lexology logo






  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 319

Further thoughts on skilled persons reports

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • May 8 2013

Further to our post yesterday, the FT Adviser has today published an article on this topic. It notes that the FSA had argued that direct appointment

FSA statement on CP1219: restrictions on the retail distribution of UCIS and close substitutes

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • May 8 2013

The FCA has published an update on its approach to last August's consultation on proposed restrictions to the marketing of unregulated collective

FCA publishes FSA data on numbers of skilled persons reports

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • May 7 2013

Data published by the FCA on Friday shows that 46 of skilled persons reports were commissioned in respect of banks and building societies in the

FCA confirms bans on payments to platforms and cash rebates

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • May 2 2013

The FCA has published its policy statement and final rules confirming that it will ban (i) payments from product providers to platforms, and (ii

Court of Appeal to consider availability of court action to top up FOS awards

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • April 9 2013

The Court of Appeal has granted a firm permission to appeal a recent High Court decision which held that complainants who accept an award of

FCA regulation and supervision of financial benchmarks

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 27 2013

On 25 March 2013, the FSA published its Policy Statement (PS136) finalising the new rules and regulations for financial benchmarks, following on

Financial Conduct Authority (FCA)’s risk outlook and business plan for 2013 published

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 25 2013

The FCA's Risk Outlook (FCA RO) has been published today, setting out the regulator's current thinking on conduct in financial markets by analysing

Budget 2013: promoting the UK funds industry as best in class

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 25 2013

The Chancellor's Budget rhetoric emphasised the UK's commitment to being a world leader in the asset management sector: the Chancellor stating that

Firms needing early full-scope AIFM authorisation must complete FSA’s survey

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 25 2013

UK Alternative Investment Fund Managers (AIFMs) that may need early full-scope authorisation in order to continue their operations in other EEA

UK FSA ups the ante for listed companies with £2.4m fine for LDTR breaches involving inside information

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • March 22 2013

The Financial Services Authority (FSA) has published a final notice setting out its decision to fine Lamprell plc (Lamprell) £2,428,300 for

Current Search

Suggested Facets

Author

Jurisdiction

Workarea

© Copyright 2006-2013 Globe Business Publishing Ltd | Cookies | Disclaimer | Privacy policy