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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”


France, Spain, Italy, Belgium and other jurisdictions impose short sale restrictions on financial companies
  • Schulte Roth & Zabel LLP
  • Belgium, European Union, France, Greece, Italy, Spain, United Kingdom
  • August 12 2011

The European Securities and Markets Authority, an organization established by the European Union as its securities regulatory authority, said in a public statement yesterday that some authorities in the EU have decided to impose or extend existing short-selling bans or restrictions in their respective countries due to recent volatility in the European financial markets


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”


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


FSA Remuneration Code update: final rules and application to hedge fund managers
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • December 21 2010

On 17 December 2010 the UK Financial Services Authority ("FSA") published its delayed policy statement ("PS") and final rules on revising its Remuneration Code ("Code"


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"


AIFM Directive publication of final text
  • Schulte Roth & Zabel LLP
  • European Union
  • July 5 2011

The final agreed text of the Alternative Investment Fund Managers Directive ("AIFM Directive") was published in the Official Journal of the European Union on 1 July 20111


France, Belgium and Spain lift short selling restrictions on financial companies
  • Schulte Roth & Zabel LLP
  • Belgium, France, Spain
  • February 16 2012

The ban on short selling financial companies traded on Spanish markets will be lifted with effect from 16 February 2012


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"