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Margin lending

Hall & Wilcox
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Australia
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August 26 2009

On 25 June 2009 the Federal Government introduced the Corporations Legislation Amendment (Financial Services Modernisation) Bill 2009 (Bill) in the House of Representatives

FSA bans firms

Dentons
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United Kingdom
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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
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January 9 2009

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

FSA confirms relaxation of ban on short selling; retains disclosure obligation

Schulte Roth & Zabel LLP
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United Kingdom
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January 14 2009

Following a brief consultation period, the United Kingdom Financial Services Authority (“FSA”) has confirmed the proposals set out in its recent Consultation Paper (CP091) relating to short sales in UK financial sector stocks

FSA clarifies directors’ disclosure

Dentons
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United Kingdom
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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

FSA proposes reduction to rights issue subscription periods

Katten Muchin Rosenman LLP
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United Kingdom
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January 16 2009

On January 12, the UK Financial Services Authority (FSA) proposed the reduction of the minimum subscription period for companies undertaking a rights issue to either 14 calendar days or 10 business days

Industry responds on MiFID and secondary markets

Dentons
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European Union
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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

Immunity powers proposed for the FSA

Katten Muchin Rosenman LLP
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United Kingdom
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January 16 2009

On January 14, the UK government announced proposals that would give the UK Financial Services Authority (FSA) new statutory powers

IRS extends favorable stock dividends guidance to RICS

Morrison & Foerster LLP
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USA
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January 16 2009

In December 2008, the Internal Revenue Service (the “IRS”) issued Revenue Procedure 2008-68, providing temporary guidance regarding certain stock distributions by publicly traded real estate investment trusts (“REITs”

SEC releases final rule on enhanced disclosure and prospectus delivery for mutual funds and exchange-traded funds

Katten Muchin Rosenman LLP
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USA
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January 16 2009

On January 13, the Securities and Exchange Commission issued a release setting forth the adoption of amendments to Form N-1A and new measures for the satisfaction of prospectus delivery obligations by mutual funds and exchange-traded funds

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Search results

Margin lending

FSA bans firms

CESR publishes statement on reclassification of financial instruments

FSA confirms relaxation of ban on short selling; retains disclosure obligation

FSA clarifies directors’ disclosure

FSA proposes reduction to rights issue subscription periods

Industry responds on MiFID and secondary markets

Immunity powers proposed for the FSA

IRS extends favorable stock dividends guidance to RICS

SEC releases final rule on enhanced disclosure and prospectus delivery for mutual funds and exchange-traded funds

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