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Speech by Sally Dewar - taking the FSA's corporate governance agenda forward
  • Locke Lord LLP
  • United Kingdom
  • April 6 2010

Sally Dewar, the Financial Services Authority's (FSA) managing director of Risk, gave a speech entitled "Taking the FSA's corporate governance agenda forward" at the City Corporate Governance and Remuneration Summit on 30 March 2010


NERA report: SEC settlement trends
  • Locke Lord LLP
  • USA
  • December 9 2009

On December 7, 2009, NERA Economic Consulting issued its report titled: "SEC Settlement Trends: 3Q09 Update" (the "NERA Report"


Two more dismissals of Securities Act lawsuits against rating agencies
  • Locke Lord LLP
  • USA
  • February 19 2010

Judge Lewis Kaplan of the U.S. District Court for the Southern District of New York granted McGraw Hill and Moody's (together, the "Ratings Agencies") motions to dismiss in both Tsereteli v. Residential Asset Securitization Trust 2006-A8 et al. and In re: IndyMac Securities Litigation - but without issuing detailed written opinions


FSA prosecutes for change of control offence
  • Locke Lord LLP
  • United Kingdom
  • February 19 2010

Semperian PPP Investment Partners (Semperian) has pleaded guilty to an offence under section 191(3) of the Financial Services and Markets Act 2000


Financial Service Authority wins appeal case on co-operation with overseas regulators
  • Locke Lord LLP
  • United Kingdom
  • March 4 2010

The Financial Services Authority (FSA) went to the Court of Appeal to seek clarification regarding its obligation to co-operate with the Securities and Exchange Commission (SEC


Senate financial regulatory reform
  • Locke Lord LLP
  • USA
  • March 2 2010

As efforts to produce a bipartisan deal on sweeping financial regulatory reform legislation inch forward, Senator Bob Corker (R-TN) offered an alternative proposal that aims to end the impasse over one of the legislation's most controversial issues - consumer financial protection


Financial Ombudsman Service publishes second set of complaints data
  • Locke Lord LLP
  • United Kingdom
  • March 4 2010

The Financial Ombudsman Service (FOS) has recently published its second set of consumer complaints data relating to individual financial businesses (which includes insurance companies, banks and investment firms) for the six-month period from 1 July to 31 December 2009


Cornerstone’s review and analysis of 2009 securities class action settlements
  • Locke Lord LLP
  • USA
  • March 29 2010

Cornerstone Research released its report on its review and analysis of 2009's securities class action settlements


International Public Company D&O: Status & Trends - Canada
  • Locke Lord LLP
  • Canada
  • April 14 2010

Class action securities claims are a perennially interesting topic for attorneys and companies around the world and across industries


Financial Services Act 2010
  • Locke Lord LLP
  • United Kingdom
  • April 16 2010

The Financial Services Act 2010 (the Act) received Royal Assent on 8 April 2010