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Corporate governance: a change in landscape on the horizon for financial institutions and listed companies
- Herbert Smith Freehills LLP
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- United Kingdom
- -
- September 15 2009
The recommendations in the Walker Review on corporate governance in UK financial institutions aim to bring about significant cultural and organisational changes in corporate governance
Complaints data: aggregated data and proposals for the publication of firm-specific data
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- September 25 2009
Both the FSA and the Financial Ombudsman Service (FOS) are committed to increasing transparency as a means of achieving better consumer outcomes
The FSA's "Dear CEO" letter on firms' liquidity risk management
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- January 18 2010
Our daily update referred to the publication of the FSA's "Dear CEO letter", in which the FSA asks for responses by 12 February 2010: confirming that the new systems and controls requirements have been properly embedded; outlining any remaining actions that need to be taken; and confirming that appropriate plans are in place to ensure accurate electronic reporting of liquidity data from the firm's switch-on date
Retail Distribution Review: navigating the road ahead
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- October 27 2009
The Retail Distribution Review (RDR) is a key priority for the FSA and will affect FSA regulated firms involved in the structuring and onward distribution of investment products to retail clients, where this is undertaken on an advisory basis
The new Financial Services Bill
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- November 25 2009
On 19 November, the Government introduced the Financial Services Bill to Parliament
Platform regulation an important fork in the road
- Herbert Smith Freehills LLP
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- United Kingdom
- -
- June 23 2010
In March 2010, the FSA published a Discussion Paper (DP102) seeking industry views on wide-ranging changes to the regulation of platforms
Financial Services Act 2010
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- April 12 2010
On 8 April 2010, the Financial Services Bill received Royal Assent, marking the end of its passage through the legislative process
FSA to require one month's notice of capital issues
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- January 13 2011
Tucked away in chapter 2 of the FSA's latest Quarterly Consultation Paper (CP111) are proposed requirements for insurers, banks and other authorised firms to tell the FSA at least one month before issuing shares or any other capital instrument that will count as regulatory capital
UK regulatory architecture reforms: Government consults on framework details
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- February 17 2011
Today, HM Treasury published its latest consultation paper on the Government's sweeping reforms to the UK financial services regulatory architecture
The Financial Ombudsman Service's policy on the publication of complaints data
- Herbert Smith Freehills LLP
- -
- United Kingdom
- -
- March 26 2009
The Financial Ombudsman Service (FOS) has published a policy statement entitled "Publication of complaint data: what we will do"
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- Workarea - Capital Markets
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- Firm Name - Herbert Smith Freehills LLP
- Author - Karen Anderson
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