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The small firms financial crime review

Norton Rose LLP
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United Kingdom
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May 31 2010

In April 2008, the FSA launched a major thematic project which was aimed at establishing the extent to which small firms across the financial services industry addressed financial crime risks in their businesses

The six-month time limit

Norton Rose LLP
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United Kingdom
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May 31 2010

The Financial Ombudsman Service (FOS) has published an online technical resource note that explains the "six-month time limit" for referring complaints to it

Something old and something new: Novel and familiar drivers of the latest crisis

Norton Rose LLP
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United Kingdom
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May 31 2010

The FSA has published a speech given by Adair Turner (Chairman, FSA) entitled Something old and something new: Novel and familiar drivers of the latest crisis

Queen’s Speech - Financial Services Regulation Bill

Norton Rose LLP
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United Kingdom
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May 31 2010

A transcript of the Queen's Speech which outlines the Government's priorities for the coming Parliamentary year has been published on the Number 10 website

Banks to publish share volumes traded in automated systems

Norton Rose LLP
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European Union
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May 28 2010

On 24 May 2010, the Association for Financial Markets in Europe (AFME) published a press release stating that six leading investment banks (Citi, Credit Suisse, Deutsche Bank, J.P. Morgan Cazenove, Morgan Stanley and UBS) had launched a voluntary initiative to improve post-trade transparency in the European over-the-counter equity markets

FSA's approach to intensive supervision

Norton Rose LLP
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United Kingdom
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May 28 2010

On 18 May 2010, the FSA published a speech given by Jon Pain (Managing Director, Supervision, FSA) entitled FSA's approach to intensive supervision

Client Money and Asset report Dear CEO letter - follow up

Norton Rose LLP
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United Kingdom
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May 28 2010

On 19 January 2010, the FSA published a Dear CEO letter it had sent to firms drawing their attention to concerns over the handling of client money and assets