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Results: 1-10 of 4,359

FSA bans firms

  • Dentons
  • -
  • United Kingdom
  • -
  • 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 confirms relaxation of ban on short selling; retains disclosure obligation

  • Schulte Roth & Zabel LLP
  • -
  • United Kingdom
  • -
  • January 14 2009

Following a brief consultation period, the United Kingdom Financial Services Authority (“FSA”) has confirmed the proposals set out in its recent Consultation Paper (CP091) relating to short sales in UK financial sector stocks

FSA clarifies directors’ disclosure

  • Dentons
  • -
  • United Kingdom
  • -
  • 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 proposes reduction to rights issue subscription periods

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • January 16 2009

On January 12, the UK Financial Services Authority (FSA) proposed the reduction of the minimum subscription period for companies undertaking a rights issue to either 14 calendar days or 10 business days

Immunity powers proposed for the FSA

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • January 16 2009

On January 14, the UK government announced proposals that would give the UK Financial Services Authority (FSA) new statutory powers

FSA lifts short selling ban

  • Edwards Wildman Palmer 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

FSA publishes COBS review findings

  • Dentons
  • -
  • United Kingdom
  • -
  • January 9 2009

FSA has carried out a post-implementation review of COBS

FSA becomes FCA and PRA

  • A&L Goodbody
  • -
  • United Kingdom
  • -
  • April 16 2013

In the UK, changes have been made to the regulation of financial services. These changes include separating the regulation of prudential and conduct

Misselling of leveraged notes: not a marginal call

  • RPC
  • -
  • United Kingdom
  • -
  • April 16 2013

In Al Sulaiman v Credit Suisse Securities (Europe) Limited the Commercial Court considered a claim for breach of duty in recommending investments

FSA publishes rules to implement EU MiFID directive

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • February 2 2007

On January 26, the Financial Services Authority (FSA) issued its final rules for the implementation of the EU Markets in Financial Instruments Directive (MiFID

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