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Supplementary annex to good and poor practices in Key Features Documents

Norton Rose LLP
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United Kingdom
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May 11 2009

The FSA has published a supplementary annex to its report on good and poor practices in Key Features Documents which was originally published on 28 September 2007

CESR Q&A - understanding the definition of advice under MiFID

Norton Rose LLP
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European Union
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April 28 2010

In October 2009, the Committee of European Securities Regulators (CESR) published a consultation paper entitled Understanding the definition of advice under MiFID

Client Money and Asset report Dear CEO letter - follow up

Norton Rose LLP
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United Kingdom
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May 28 2010

On 19 January 2010, the FSA published a Dear CEO letter it had sent to firms drawing their attention to concerns over the handling of client money and assets

CESR comments to EFRAG on proposal for discount rate for employee benefits

Norton Rose LLP
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European Union
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October 12 2009

The Committee of European Securities Regulators has sent a comment letter to the European Financial Reporting Advisory Group (EFRAG) regarding the proposal contained in the Exposure Draft Discount Rate for Employee Benefits by the International Accounting Standards Board

FSA speech - delivering intensive supervision and credible deterrence

Norton Rose LLP
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United Kingdom
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March 16 2009

The FSA has published a speech by Hector Sants (CEO, FSA) entitled "Delivering intensive supervision and credible deterrence"

FSA publishes policy statement on the approved persons regime

Norton Rose LLP
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United Kingdom
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August 3 2009

The FSA has confirmed an extension of the approved persons regime for those that perform a ‘significant influence’ function at firms

ICGN Conference on Corporate Governance - Check against delivery

Norton Rose LLP
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United Kingdom
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April 5 2010

HM Treasury has published a speech that Paul Myners (Financial Services Secretary) gave at the ICGN Conference on Corporate Governance

Chhabra & Patel

Norton Rose LLP
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United Kingdom
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January 18 2010

The Financial Services and Markets Tribunal (the Tribunal) has found that two friends engaged in market abuse

AIMA breakfast address on the Alternative Investment Fund Management Directive

Norton Rose LLP
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United Kingdom
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August 11 2009

On 7 July 2009, HM Treasury has published the breakfast address that Paul Myners (Financial Services Secretary to HM Treasury) gave to AIMA on the Commission’s proposed Directive on alternative investment fund management

Securities Borrowing and Lending Code of Guidance

Norton Rose LLP
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United Kingdom
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August 6 2009

The Securities Lending and Repo Committee of the Bank of England has published a revised version of the Securities Borrowing and Lending Code of Guidance (the Code

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Search results

Supplementary annex to good and poor practices in Key Features Documents

CESR Q&A - understanding the definition of advice under MiFID

Client Money and Asset report Dear CEO letter - follow up

CESR comments to EFRAG on proposal for discount rate for employee benefits

FSA speech - delivering intensive supervision and credible deterrence

FSA publishes policy statement on the approved persons regime

ICGN Conference on Corporate Governance - Check against delivery

Chhabra & Patel

AIMA breakfast address on the Alternative Investment Fund Management Directive

Securities Borrowing and Lending Code of Guidance

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