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Results: 1-10 of 2,632

FSA bans firms

Dentons
-
United Kingdom
-
January 16 2009

FSA has banned several firms and individuals: one firm and its owner because the owner had not paid an FOS award leaving the firm with no competent and prudent management; two for not filing their RMARs; one for having inadequate resources; and one individual for various failings, including fraud convictions

CESR publishes statement on reclassification of financial instruments

Dentons
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European Union
-
January 9 2009

CESR has monitored accounting developments, especially discussions on financial instruments and fair value accounting

FSA clarifies directors’ disclosure

Dentons
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United Kingdom
-
January 16 2009

FSA has clarified that directors should seek clearance when they plan to use their shares in their company as collateral for a financing transaction

Industry responds on MiFID and secondary markets

Dentons
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European Union
-
January 16 2009

10 European industry associations, including BBA and LIBA from the UK, have responded to CESR's call for evidence on the impact of MiFID on equity secondary markets

CESR updates MiFID FAQs

Dentons
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European Union
-
January 9 2009

CESR has published an update of the common positions its members have taken on certain aspects of MiFID

CESR calls for evidence on short selling

Dentons
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European Union
-
January 9 2009

CESR's new task force on short selling is calling for views on practical issues arising from the emergency short selling regulations

FSA publishes COBS review findings

Dentons
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United Kingdom
-
January 9 2009

FSA has carried out a post-implementation review of COBS

Council publishes MiFID 2 compromise text

Dentons
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European Union
-
April 12 2013

The latest compromise text for the recast Markets in Financial Instruments Directive (MiFID 2) deletes article 16(a), which required that trades in

Commission speaks on financial package

Dentons
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European Union
-
May 8 2009

Charlie McCreevy welcomed the publication of the Commission's proposal for a Directive for alternative investment fund managers

Treasury looks to the future

Dentons
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United Kingdom
-
May 8 2009

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