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Results: 1-10 of 1,431

Complaints Commissioner recommends settlement notes

  • Dentons
  • -
  • United Kingdom
  • -
  • April 1 2011

The Complaints Commissioner has suggested FSA should consider agreeing a final note of any discussions leading to a final decision in an enforcement investigation

FCA publishes asset manager outsourcing review

  • Dentons
  • -
  • United Kingdom
  • -
  • November 8 2013

FCA has published the findings of its thematic review on outsourcing in the asset management sector. The review focused on how asset managers dealt

EBF comments on AIFMD implementation

  • Dentons
  • -
  • European Union
  • -
  • April 20 2012

EBF has commented on the controversial draft Delegated Regulation for the implementation of AIFMD

FSA writes to firms on unbreakable deposits

  • Dentons
  • -
  • United Kingdom
  • -
  • January 11 2013

On 30 November 2012, FSA wrote to individuals carrying out a Client Assets Sourcebook (CASS) operational oversight function (CF10a). FSA is concerned

EFAMA publishes Consolidated Tape proposal

  • Dentons
  • -
  • European Union
  • -
  • September 23 2011

EFAMA has published a blueprint for how a European Consolidated Tape might work

Turner speaks on economics and wisdom

  • Dentons
  • -
  • United Kingdom
  • -
  • April 23 2010

Lord Turner, speaking in Cambridge, discussed how conventional wisdom decided simple macro-economic policy, deregulation, financial innovation and complex and active markets were all good

IOSCO consults on principles for CIS redemption suspension

  • Dentons
  • -
  • Global
  • -
  • March 11 2011

IOSCO is consulting on draft principles that should apply when open-ended investment schemes suspend redemptions

ESMA speaks at ICMA conference

  • Dentons
  • -
  • European Union
  • -
  • June 1 2012

Verena Ross has spoken to the International Capital Market Association (ICMA) conference on ESMA's regulatory priorities

ESMA consults on fees for trade repositories

  • Dentons
  • -
  • European Union
  • -
  • February 22 2013

ESMA has opened a consultation, which runs until 6 March, on its response to the Commission's request for technical advice on Fees for Trade

Parliament publishes amended FS Bill

  • Dentons
  • -
  • United Kingdom
  • -
  • March 30 2012

Following conclusion of the Committee stage, Parliament has published the Financial Services Bill (FS Bill) as amended in the Committee