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Results: 1-10 of 143

FSA announces 201112 funding
  • Dentons
  • United Kingdom
  • February 4 2011

FSA has announced its annual funding requirement for 201112 will be £500


Treasury publishes draft SRR Regulations
  • Dentons
  • United Kingdom
  • July 16 2010

Treasury has published the FSMA 2000 (Contribution to Costs of Special Resolution Regime) Regulations 2010 in draft


FSA fines and bans over misconduct
  • Dentons
  • United Kingdom
  • February 3 2012

FSA has fined a trader and former compliance officer £130,000 for failing to make reasonable enquiries before selling his firm's shareholding in Punch Taverns


FSA finalises CCP risk management guidance
  • Dentons
  • United Kingdom
  • February 3 2012

FSA has published its finalised guidance on its reviews of counterparty credit risk management by central counterparties


FSA and FINMA confirm UBS enforcement action
  • Dentons
  • Switzerland, United Kingdom
  • February 10 2012

FSA has published a statement confirming both it and the Swiss Financial Market Supervisory Authority (FINMA) have commenced formal enforcement investigations against UBS in respect of trading losses incurred by the UBS AG London branch


FSA speaks on financial system
  • Dentons
  • United Kingdom
  • December 1 2011

Andrew Bailey, at a conference on the future of retail banking, spoke on promoting a prudent and stable financial system


Swift Trade JR application withdrawn
  • Dentons
  • United Kingdom
  • December 1 2011

FSA has announced the judicial review (JR) proceedings brought by Swift Trade and Peter Beck earlier this year to challenge FSA’s choice to publish its decision notice in respect of a market abuse finding have been withdrawn by consent


Treasury publishes emissions auction platform Regulations
  • Dentons
  • United Kingdom
  • November 18 2011

The Recognised Auction Platforms Regulations 2011 come into force partly on 12 December 2011 and mainly on 18 June 2012


IMA responds on living wills
  • Dentons
  • United Kingdom
  • November 18 2011

IMA’s response focuses on the elements of the consultation on the Client Assets Sourcebook Resolution Pack


IMA criticises FTT
  • Dentons
  • European Union, United Kingdom
  • November 18 2011

IMA has told the House of Lords EU Committee that it believes the Financial Transaction Tax is a tax on UK savers