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Results: 1-10 of 20

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"


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”


US private fund advisers likely to have another year to comply with the AIFM Directive for marketing in the UK
  • Schulte Roth & Zabel LLP
  • United Kingdom, USA
  • May 2 2013

HM Treasury, which is the legislative body responsible for implementing the Alternative Investment Fund Managers Directive (“AIFM Directive”) into


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


France, Spain, Italy, Belgium and Greece extend short-sale bans on financial companies
  • Schulte Roth & Zabel LLP
  • Belgium, France, Greece, Italy, Spain
  • August 25 2011

The short-selling bans on certain financial companies imposed on Aug. 12, 2011 by the securities authorities in France, Spain, Italy, Belgium and Greece1 have been extended


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"


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


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 proposes to extend its remuneration code to UK-based hedge fund managers
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • August 18 2010

On 29 July 2010, the United Kingdom's Financial Services Authority ("FSA") published a consultation paper setting out proposed revisions to its Remuneration Code (the "Code"