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FSA updates guide to the new PRA and FCA handbooks
- Katten Muchin Rosenman LLP
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- United Kingdom
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- February 22 2013
On February 19, the UK Financial Services Authority (FSA) published an updated "one-minute guide" summarizing the changes to the FSA Handbook that
FSA requires asset managers to address conflicts of interest
- Katten Muchin Rosenman LLP
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- United Kingdom
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- November 16 2012
On November 9, the UK Financial Services Authority (FSA) issued a paper entitled “Conflicts of interest between asset managers and their customers: Identifying and mitigating the risks” (the Paper
FSA fines manager for systemic suitability failings
- Katten Muchin Rosenman LLP
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- United Kingdom
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- November 16 2012
On November 14, the UK Financial Services Authority (FSA) announced that it had fined Savoy Investment Management Limited (Savoy) £412,000 (approximately $653,000) for failing to take reasonable care to ensure the suitability of the investment portfolios of its wealth management clients
FSA consults on operation of FCA and sets out PRA’s approach
- Katten Muchin Rosenman LLP
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- United Kingdom
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- October 19 2012
On October 16, the UK Financial Services Authority (FSA) published a consultation paper entitled Journey to the FCA, regarding how its successor regulator the Financial Conduct Authority (FCA) will operate
HM Treasury consults on financial services regulatory changes
- Katten Muchin Rosenman LLP
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- United Kingdom
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- October 19 2012
On October 15, HM Treasury published draft secondary legislation relating to the Financial Services Bill which is currently being considered by Parliament
FSA warns firms about financial promotions
- Katten Muchin Rosenman LLP
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- United Kingdom
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- September 28 2012
On September 21, the UK Financial Services Authority (FSA) released a speech entitled “Financial Promotions: Keeping Connected and Compliant” delivered by Clive Gordon, FSA’s Head of Conduct Risk
Treasury consultation on financial sector resolution proposals
- Katten Muchin Rosenman LLP
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- United Kingdom
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- August 3 2012
On August 1, HM Treasury published a consultation paper Financial Sector Resolution: Broadening the Regime setting out proposals and questions for consultation on enhancing the mechanisms available for dealing with the failure of systemically important non-bank financial sector entities
European commission proposes legislation prohibiting benchmark manipulation
- Katten Muchin Rosenman LLP
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- European Union
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- July 27 2012
On July 25, the European Commission adopted amendments to proposals for a Regulation (Market Abuse Regulation or MAR) and a Directive (Market Abuse Directive or MAD) on insider dealing and market manipulation
FSA publishes guide to PRA and FCA handbooks
- Katten Muchin Rosenman LLP
- -
- United Kingdom
- -
- June 8 2012
On June 1, the UK Financial Services Authority (FSA) published a short guide to its plans for dividing the FSA Handbook into handbooks for the its two successor regulators the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA), when the PRA and the FCA acquire their legal powers, and the FSA is abolished in its current form
Appeal tribunal upholds FSA ban and fine on former investment bank advisers
- Katten Muchin Rosenman LLP
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- USA
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- May 25 2012
On May 21, the Upper Tribunal (Tax and Chancery Chamber) published related decisions upholding the Financial Services Authority's decision notices imposing fines and bans on both Sachin Karpe and Laila Karan
Current Search
- Workarea - Capital Markets
- Workarea - Banking
- Firm Name - Katten Muchin Rosenman LLP
- Author - Edward Black