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Results: 1-10 of 143

FSA bans and fines trader £140,000 for unauthorised "prehedging"
  • Dentons
  • United Kingdom
  • May 29 2009

FSA has banned and fined trader Nilesh Shroff for deliberately disadvantaging his customers by "pre hedging" trades without their consent


More parts of Banking Act in force
  • Dentons
  • United Kingdom
  • May 29 2009

More sections of the Banking Act 2009 come into force on 1 June


FSA feeds back on gas emissions auctioning
  • Dentons
  • United Kingdom
  • January 20 2012

FSA has published its feedback statement on its approach to regulating and supervising Recognised Auction Platforms (RAPs) for the auctioning of greenhouse gas emission allowances


FSA consults on prudential requirements for recognised bodies
  • Dentons
  • United Kingdom
  • October 7 2011

FSA is consulting on the conclusions of its review of how it sets prudential standards for Recognised Investment Exchanges and Clearing Houses


FPC recommends better balance sheet management
  • Dentons
  • European Union, United Kingdom
  • September 30 2011

The Financial Policy Committee recommended that banks should take any opportunity they get to strengthen their capital and liquidity


FSA publishes AII details
  • Dentons
  • United Kingdom
  • September 16 2011

FSA has published a webpage explaining its project on the Alternative Instrument Identifier (Aii


FSB publishes responses on ETFs
  • Dentons
  • United Kingdom
  • September 16 2011

FSB has published the responses it received to its note on exchange-traded funds (ETFs


FSA consults on more derivative transactions guidance
  • Dentons
  • United Kingdom
  • September 16 2011

FSA has now published for consultation its proposed guidance on transaction reporting for transactions on Turquoise Derivatives and derivative transactions conducted through clearing platforms of derivative markets where the reference data for these transactions is not made available to FSA and through Approved Reporting Mechanisms (ARMs


Commission approves UK mortgage schemes
  • Dentons
  • European Union, United Kingdom
  • April 24 2009

The Commission has approved under State Aid rules the UK schemes to provide guarantees to securities issued by SPVs collateralised with residential mortgages, and to give homeowners who have trouble repaying mortgages some breathing space


FSA and SEC host roundtable
  • Dentons
  • United Kingdom, USA
  • October 21 2011

FSA and US Securities and Exchange Commission (SEC) hosted a roundtable discussion on market structures, attended by regulators from all over the world