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Consultation Paper 103: Effective corporate governance (Significant influence controlled functions and the Walker review)
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 1 2010

On 28 January 2010, the FSA published Consultation Paper 103: Effective corporate governance (Significant influence controlled functions and the Walker review) (CP103


Council Regulation (EU) No 4072010 of 11 May 2010 establishing a European financial stabilisation mechanism
  • Norton Rose Fulbright LLP
  • European Union
  • May 18 2010

There has been published in the Official Journal of the European Union Council Regulation (EU) No 4072010 of 11 May 2010 establishing a European financial stabilisation mechanism


The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2010
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 1 2010

On 19 January 2010, there was published on the Office of Public Sector Information (OPSI) website The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2010 (the Order


Public hearing on CEBS consultation paper on instruments referred to in Article 57(a) of Directive 200648EC recast - note of meeting
  • Norton Rose Fulbright LLP
  • European Union
  • March 22 2010

On 17 December 2009, the Committee of European Banking Supervisors (CEBS) published a consultation paper covering implementation guidelines on capital instruments


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 29 2010

Following a summary judgment application brought by the FSA, the High Court found that John Anderson, Kenneth Peacock and Kautilya Nandan Pruthi were in breach of section 19 of the Financial Services and Markets Act 2000 by unlawfully accepting deposits from UK consumers


Conduct of Business Sourcebook (COBS) post implementation review: final statement on findings
  • Norton Rose Fulbright 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


Senior Supervisors Group: risk management lessons from the global banking crisis of 2008
  • Norton Rose Fulbright LLP
  • Global
  • October 26 2009

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


Paul Tucker speech at Barclays Annual Lecture
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 2 2009

Paul Tucker, Deputy Governor, Financial Stability, Bank of England, gave a speech at the Barclays Annual Lecture in which he outlined the Bank’s thinking on the development of a "toolkit" of macro-prudential instruments with the prime purpose of making the financial system more resilient to swings in the credit cycle


The role of macro-prudential policy
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 30 2009

The Bank of England (BoE) has published a Discussion Paper on the role of macro-prudential policy in restraining the build-up of risks in the financial system


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • September 14 2009

An independent financial adviser (HNL) has been fined £14,000 for a breach of Principle 9 (Customers: relationship of trust) in relation to the suitability of its investment advice