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Results: 1-10 of 149

Supplementary annex to good and poor practices in Key Features Documents

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • 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

Client Money and Asset report Dear CEO letter - follow up

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • 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

FSA speech - delivering intensive supervision and credible deterrence

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • 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
  • -
  • United Kingdom
  • -
  • 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
  • -
  • United Kingdom
  • -
  • April 5 2010

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

Queen’s Speech - Financial Services Regulation Bill

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 31 2010

A transcript of the Queen's Speech which outlines the Government's priorities for the coming Parliamentary year has been published on the Number 10 website

FSB principles for sound compensation practices - implementation standards

  • Norton Rose LLP
  • -
  • Global
  • -
  • October 12 2009

The Financial Stability Board (FSB) has published a report which contains implementation standards for its Principles for Sound Compensation Practices

Mansion House speech

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • October 12 2009

Adair Turner, Chairman, FSA, gave a speech at the Mansion House City Banquet on 22 September 2009

Senior Supervisors Group: risk management lessons from the global banking crisis of 2008

  • Norton Rose LLP
  • -
  • Global
  • -
  • October 26 2009

The Senior Supervisors Group (SSG) comprises of national regulators from the following countries

Conduct of Business Sourcebook (COBS) post implementation review: final statement on findings

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • March 29 2010

The FSA has published its final statement on its findings following the Conduct of Business (COBS) post-implementation review

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