Search results

Order by most recent / most popular / relevance

Results: 1-10 of 38

IMA responds on client assets and mandates

Dentons
-
United Kingdom
-
October 5 2012

IMA has responded to FSA's consultation on client assets firm classification, oversight, reporting and the mandate rules

FSA publishes new Remuneration Code documents

Dentons
-
United Kingdom
-
August 31 2012

FSA has published revised Remuneration Code self-assessment templates and tables

ECON consults on post-LIBOR MAD2

Dentons
-
European Union, United Kingdom
-
August 24 2012

Arlene McCarthy, the Economic and Monetary Affairs’(ECON) rapporteur for the Directive on criminal sanctions for market abuse (CMAD) and the market abuse Regulation (MAR) (together MAD2), has opened a public consultation seeking views on several questions that have emerged from the LIBOR scandal

Industry responds on EMIR TS

Dentons
-
European Union, United Kingdom
-
August 10 2012

ISDA, the British Bankers' Association (BBA), the Association of Financial Markets in Europe (AFME) and the Italian brokers association have submitted a detailed response to ESMA’s consultation paper and draft TS on EMIR

FSA reviews remuneration proportionality guidance

Dentons
-
United Kingdom
-
August 3 2012

FSA is consulting on a change to its “general guidance on proportionality” for remuneration

FSA consults on changes to CASS

Dentons
-
United Kingdom
-
July 27 2012

FSA is consulting until 30 September on two areas of client assets policy: firm classification and operational oversight requirements (CASS 1A) and the scope of the mandate rules (CASS 8

CLLS comments on MAR ECON report and presidency compromise texts

Dentons
-
United Kingdom
-
July 20 2012

CLLS has submitted to the Joint Brussels Office of the Law Societies a document commenting on the ECON Report and the Presidency Compromise texts currently being debated in relation to the proposal for a Regulation on market abuse (MAR

Lords Committee publishes MiFID 2 report

Dentons
-
United Kingdom
-
July 13 2012

The European Union Committee of the House of Lords has published its report “MiFID 2: Getting it Right for the City and EU Financial Services Industry”

FSA fines for APER breaches and market abuse

Dentons
-
United Kingdom
-
July 13 2012

FSA has fined Jay Rutland, a former senior broker, £30,000 and banned him for breach of the Statements of Principle for Approved Persons (APER), for engaging in market abuse by making improper disclosure and encouraging others to deal in circumstances which would have amounted to insider dealing by Mr Rutland

Committee backs consistent market abuse sanctions

Dentons
-
United Kingdom
-
July 13 2012

The Justice and Home Affairs Committee in the EP has called for consistent and tough criminal sanctions for market abuse