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Results: 1-10 of 20

FSA conflicts of interest safeguards: immediate action to be taken by all UK-authorised hedge fund managers
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • November 27 2012

The UK Financial Services Authority has recently published an important report that builds upon a series of late 2011 and early 2012 “thematic reviews” of FSA-authorised investment managers (the “Report”


New FSA policy on prime brokerage client assets
  • Schulte Roth & Zabel LLP
  • USA
  • November 9 2010

The UK's regulator, the Financial Services Authority ("FSA"), has recently published its latest policy statement on enhancing the client asset rules in the Client Assets sourcebook ("CASS"


New ESMA guidance on European short selling rules effective 1 November 2012
  • Schulte Roth & Zabel LLP
  • European Union
  • October 18 2012

On 10 October 2012 the European Securities and Markets Authority (“ESMA”) published guidance in the form of Questions and Answers (the “Q&A”) on the implementation of the new EU Short Selling Regulation (the “Regulation”


FSA makes amendments to telephone taping rules
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • November 22 2010

On 11 November 2010, the UK’s Financial Services Authority (“FSA”) published its latest policy statement (the “Policy Statement”) with amendments to its rules on the recording of telephone conversations and electronic communications


Reminder for UK private fund managers: the AIFM Directive takes effect on 22 July 2013
  • Schulte Roth & Zabel LLP
  • European Union, United Kingdom
  • July 9 2013

The Alternative Investment Fund Managers Directive ("AIFM Directive") of the European Union ("EU") must be implemented into the national law of all


FSA recasts and revises UK rules on short selling
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • August 5 2010

On 23 July 2010, the UK's financial regulator, the Financial Services Authority ("FSA"), published its consultation paper CP 1018, entitled Feedback on CP 1011, final rules and further consultation ("CP 1018") which incorporates the final text of the new Financial Stability and Market Confidence sourcebook ("FINMAR"


FSA asserts new financial stability information-gathering powers
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • August 5 2010

On 23 July 2010, the UK's financial regulator, the Financial Services Authority ("FSA") published its consultation paper CP 1018 - Feedback on CP 1011, final rules and further consultation ("CP 1018")1 which incorporates the final text of the new Financial Stability and Market Confidence sourcebook ("FINMAR")2


FSA Remuneration Code update: delayed publication of final rules on remuneration
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • November 3 2010

The UK Financial Services Authority ("FSA") has recently announced a delay to the anticipated publication date for its policy statement ("PS") and final rules on revising its Remuneration Code ("Code"


Proposed new pan-European rules on short selling
  • Schulte Roth & Zabel LLP
  • European Union
  • October 21 2010

On 15 September 2010, the European Commission ("Commission") published its proposal (the "Proposal") for a pan-European short-selling regime, which also takes into account uncovered credit default swaps (which have an equivalent economic effect


FSA remuneration code, EU guidelines on remuneration policies and proportionality
  • Schulte Roth & Zabel LLP
  • USA
  • October 21 2010

The draft remuneration code ("Code") published by the UK Financial Services Authority ("FSA") at the end of July 2010 was roundly criticised by the UK media and fund management industry as being both inappropriate and unclear, based as it was on the FSA's existing remuneration code applicable to UK banks and the remuneration of their staff