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Unfair contract terms: "read and understood" declarations

  • Dentons
  • -
  • United Kingdom
  • -
  • 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

COBS telephone recording rules now in force

  • Dentons
  • -
  • United Kingdom
  • -
  • March 13 2009

The new rules in COBS that require firms to record telephone conversations in respect of dealings in certain financial instruments for or on behalf of clients took effect from 6 March

FSA consults on remuneration policies

  • Dentons
  • -
  • United Kingdom
  • -
  • March 20 2009

Following FSA’s publication of a draft Code of practice on remuneration at the end of February, it is now consulting on incorporating the Code (which it has revised considerably since its publication) into its Handbook

MiFID plus one would FSA be happy with your policies?

  • Dentons
  • -
  • United Kingdom
  • -
  • March 10 2009

Firms have had over a year to comply with FSA’s rules that implemented MiFID

FSA speaks on hedge funds

  • Dentons
  • -
  • United Kingdom
  • -
  • March 27 2009

Dan Waters looked at regulatory challenges for fund managers

APCIMS warns Turner

  • Dentons
  • -
  • United Kingdom
  • -
  • March 27 2009

APCIMS has welcomed the Turner review, but has stressed the need for proportionate regulation

FSA says people should be frightened

  • Dentons
  • -
  • United Kingdom
  • -
  • March 20 2009

In a speech to a Reuters event, Hector Sants spoke of FSA’s role in intensive supervision and credible deterrence

Europe agrees economic aims ahead of summit

  • Dentons
  • -
  • United Kingdom
  • -
  • March 27 2009

The Prime Minister has told the Commons about the European Council meeting last week that, among other things, agreed measures to put to the G20 relating to changes in banking and financial services regulation

FSA gets insider dealing conviction

  • Dentons
  • -
  • United Kingdom
  • -
  • April 3 2009

The Crown Court has found a solicitor and his father-in-law guilty of insider dealing after FSA brought criminal proceedings for the first time

Treasury makes Financial Markets and Insolvency Regulations

  • Dentons
  • -
  • United Kingdom
  • -
  • April 9 2009

Treasury has made a new set of Financial Markets and Insolvency Regulations that change the insolvency regime that applies to RIEs and RCHs