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Treasury looks to the future

Dentons
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United Kingdom
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May 8 2009

Treasury has published a report of the Financial Services Competitiveness Group, of which the Chancellor is a co-chair

FSA helps find a boiler room

Dentons
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United Kingdom
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May 8 2009

FSA has worked with UK police forces as part of a Europe-wide investigation into share fraud and boiler room activities which have led to £28 million losses for investors

FSA publishes new Market Watch

Dentons
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United Kingdom
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September 4 2009

The latest edition of Market Watch covers manipulation of the order book (layering or spoofing) - a warning for direct market access providers

Unfair contract terms: "read and understood" declarations

Dentons
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United Kingdom
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January 28 2009

Under the Unfair Terms in Consumer Contracts Regulations 1999 (the Regulations), FSA has the power to challenge FSA-regulated firms that are using terms which they view as unfair

FSSC fails to meet standards

Dentons
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United Kingdom
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May 15 2009

FSSC has not been relicensed by the UK Government and the Devolved Administrations

FSA calls for better checks on senior management

Dentons
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United Kingdom
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May 15 2009

Hector Sants, speaking to the SII, outlined changes FSA is making to how it judges the competence of firms’ senior management as well as their probity

The latest edition of LIST! looks at: property valuation reports; investment trust rollovers; date of portfolio analysis; risk factors; transferring listed securities from a regulated market to an MTF; conflicts principles for sponsors; rights issues; segmentation and labelling of officially-listed securities; effects on LR of changes to DTR5; and interim management statements

SDRT changes for exchanges and clearing houses

Dentons
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United Kingdom
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June 5 2009

The Liquidnet H2O Multilateral Trading Facility is an RIE and SIX X-CLEAR AG an RCH for the purposes of the stamp duty and SDRT exemptions that apply to certain securities transfers and trades