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Results: 1-10 of 202

The small firms financial crime review
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

In April 2008, the FSA launched a major thematic project which was aimed at establishing the extent to which small firms across the financial services industry addressed financial crime risks in their businesses


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

A former inter-dealer broker has been prohibited in connection with deliberate unauthorised trades


Something old and something new: Novel and familiar drivers of the latest crisis
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

The FSA has published a speech given by Adair Turner (Chairman, FSA) entitled Something old and something new: Novel and familiar drivers of the latest crisis


The six-month time limit
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

The Financial Ombudsman Service (FOS) has published an online technical resource note that explains the "six-month time limit" for referring complaints to it


The FSA’s markets regulatory agenda
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

The FSA has published a paper which is entitled The FSA's markets regulatory agenda


Queen’s Speech - Financial Services Regulation Bill
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

A transcript of the Queen's Speech which outlines the Government's priorities for the coming Parliamentary year has been published on the Number 10 website


FSA warning regarding boiler room share fraudsters
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The FSA has issued a press notice stating that it is contacting more than 38,000 people across the UK to warn them that they could be the target of share fraud after it recovered a master list used by boiler room fraudsters


FSA’s approach to intensive supervision
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The FSA has published a speech given by Jon Pain (Managing Director, Supervision, FSA) entitled FSA's approach to intensive supervision


Simplified Advice
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The FSA has published a speech given by Sheila Nicoll (Conduct Policy Director, FSA) which is entitled Simplified Advice


AIMA warns of wider impact of AIFM Directive
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 21 2010

The Alternative Investment Management Association (AIMA) has issued a press release warning that if the EU pushes through the Alternative Investment Fund Managers Directive its impact will go far beyond the hedge fund and private equity industries