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: 1-8 of 8

Client Assets Unit - increased firm visits and enforcement actions

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 31 2011

It is clear that the FSA regards client asset failings as an industry-wide problem and has established a specialist Client Assets Unit (Unit) to tackle these failings

UK regulatory reform - responses to the government consultation on "a new approach to financial regulation

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • November 26 2010

HM Treasury has published a summary of responses to its consultation on the reform of the UK financial services regulatory regime

An insight into the FSA's implementation of the new financial services regulatory structure and concerns

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • October 15 2010

HM Treasury has very recently published a memorandum submitted by the FSA in response to its inquiry into the Government's proposals for reform of financial regulation

HM Treasury consults on sweeping reforms to UK regulatory architecture

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • July 26 2010

Today, HM Treasury published its first paper seeking views on the Government's proposals for wholesale reform of the UK financial services regulatory architecture

Client assets and client money sit up and take notice

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • July 8 2010

The collapse of Lehman Brothers highlighted various problems with the current UK regulatory regime for client asset protection

Acting in concert and deemed voting power: new FSA guidance

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • June 3 2010

On 6 April 2010, the FSA published Draft Guidance setting out its views on when persons might be "acting in concert" or hold deemed voting power for the purposes of its controller regime (the "Draft Guidance"

FSA’s corporate governance framework and intensive supervisory approach

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • April 14 2010

Corporate governance is currently high on the FSA's radar and it is clear that issues relating to corporate governance are a key component of the FSA's new intensive supervisory approach

Effective corporate governance: significant influence controlled functions and the Walker Review

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • February 4 2010

The FSA has published a consultation paper (CP103) entitled "Effective corporate governance (significant influence controlled functions and the Walker review)" which discusses the following

Current Search

Suggested Facets

Author

Workarea

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