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The Financial Services Authority publishes independent review of financial promotions compliance

Edwards Wildman Palmer LLP
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United Kingdom
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January 26 2010

The Financial Services Authority (FSA) has recently published the results of an independent review of firms' compliance with its financial promotions requirements (the Review

FSA consults on effective corporate governance

Edwards Wildman Palmer LLP
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United Kingdom
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February 2 2010

On 28 January 2010 the FSA issued a consultation paper on effective governance, focusing on significant influence controlled functions and Sir David Walker's review of corporate governance in banks and other financial firms

Financial Services Authority issues Client Money and Asset Report

Edwards Wildman Palmer LLP
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United Kingdom
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February 8 2010

The difficult market conditions and the consequent increased chance of insolvency of regulated entities prompted the Financial Services Authority (FSA) to carry out firm visits over the last 6 months to a range of investment and insurance broker firms to assess their compliance with the client money rules contained in the Client Asset Sourcebook (CASS) of the FSA Handbook

FSA releases updated Remuneration Code

Edwards Wildman Palmer LLP
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United Kingdom
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December 23 2010

On 17 December 2010, the FSA published an updated Remuneration Code to account for the changes required by the EU Capital Requirements Directive (CRD 3

Financial Services Act 2010

Edwards Wildman Palmer LLP
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United Kingdom
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April 16 2010

The Financial Services Act 2010 (the Act) received Royal Assent on 8 April 2010

FSA enhances client asset protection

Edwards Wildman Palmer LLP
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United Kingdom
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November 10 2010

In the light of the Lehman collapse, the FSA has been taking steps to improve client asset protection

UK client money deadline approaches

Edwards Wildman Palmer LLP
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United Kingdom
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June 11 2010

We have previously reported on the UK Financial Services Authority's (FSA) Client Money and Asset Report (the Report), published in January 2010

Chief Executive of the FSA gives update on UK regulatory reform

Edwards Wildman Palmer LLP
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United Kingdom
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January 4 2011

We have reported previously on proposals to establish a 'twin peaks' regulatory approach in the UK

Financial Services Authority (FSA) publishes consultation paper on competence and ethics

Edwards Wildman Palmer LLP
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United Kingdom
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June 11 2010

The FSA has recently published a consultation paper entitled "Competence and ethics" (CP1012

UK Chancellor sets out proposals for reform of financial services regulation

Edwards Wildman Palmer LLP
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United Kingdom
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June 17 2010

In the annual Mansion House Speech on 16 June 2010, the UK Chancellor announced his intention to abolish the tri-partite system of financial regulation established by the former Labour government