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Results: 1-10 of 368

High-Level Questionnaire - Survey on the implementation of the IOSCO Objectives and Principles of Securities Regulation

  • Norton Rose Fulbright LLP
  • -
  • Global
  • -
  • May 3 2010

In 1998 the International Organization of Securities Commissions (IOSCO) adopted the Objectives and Principles of Securities Regulation (IOSCO Objectives and Principles) which set out 30 core principles of securities regulation

Statement regarding the use of commission clawback terms in Terms of Business Agreements

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • January 25 2010

The FSA has published a statement regarding the use of commission clawback terms in Terms of Business Agreements

Updated guide to MiFID transaction reporting for the FSA via the CREST ARM

  • Norton Rose Fulbright LLP
  • -
  • European Union, United Kingdom
  • -
  • August 6 2009

Euroclear has published a guide to MiFID transaction reporting for the FSA via the CREST ARM (the Guide) which is aimed at helping CREST members meet both their own Markets in Financial Instruments Directive (MiFID) and FSA transaction reporting obligations and any reporting agent responsibilities they have to others

AIFM Directive - Spanish Presidency compromise proposal

  • Norton Rose Fulbright LLP
  • -
  • European Union
  • -
  • February 22 2010

The Spanish Presidency of the European Council has published a new compromise proposal for the draft Alternative Investment Fund Managers Directive

FSA speech - Delivering credible deterrence

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • May 4 2009

The FSA has published a speech by Margaret Cole (Director of Enforcement, FSA) entitled Delivering credible deterrence

IOSCO publishes principles on cross-border supervisory cooperation

  • Norton Rose Fulbright LLP
  • -
  • Global
  • -
  • May 31 2010

The International Organization of Securities Commissions (IOSCO) has published a final report which sets out principles regarding cross-border supervisory cooperation

The Financial Services and Markets Act 2000 (Amendment) Regulations 2009

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • September 14 2009

The Office of Public Sector Information (OPSI) has published the Financial Services and Markets Act 2000 (Amendment) Regulations 2009 (the Regulations

EFRAG's draft comment letter on the IASB’s discussion paper on credit risk in liability measurement

  • Norton Rose Fulbright LLP
  • -
  • European Union
  • -
  • September 7 2009

The Committee of European Securities Regulators (CEBS) has published its comments on the draft response of the European Financial Reporting Advisory Group (EFRAG) to the International Accounting Standards Board’s (IASB) discussion paper on credit risk in liability measurement

Policy Statement 0920: Stress and Scenario Testing - feedback on CP0824 and final rules

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • December 21 2009

The FSA has published Policy Statement 0920: Stress and Scenario Testing - feedback on CP0824 and final rules (PS0920

IOSCO speech - Who should do what in the global financial architecture... the art of the possible

  • Norton Rose Fulbright LLP
  • -
  • Global
  • -
  • May 4 2009

The International Organization of Securities Commissions (IOSCO) has published a speech by its Chairperson Jane Diplock (JD

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