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Results: 1-10 of 269

The new accountability regime
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 8 2014

In the UK the Financial Services and Markets Act 2000 (FSMA) gives the Prudential Regulation Authority (PRA) and the Financial Conduct Authority


MiFID II MiFIR series - corporate governance
  • Norton Rose Fulbright LLP
  • European Union, United Kingdom
  • October 9 2014

The Markets in Financial Instruments Directive (MiFID) is one of the cornerstones of EU financial services law setting out which investment services


Financial services updater - 4 February 2014: collective investment schemes
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 4 2014

The Financial Markets Law Committee (FMLC) has published its response to Consultation Paper 135: Review of the client assets regime for investment


Financial services updater - 4 February 2014: FCA PRA Handbook
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 4 2014

The PRA consults on administration instruments. An administration instrument is used to make corrections to PRA Handbook provisions. The corrections


Financial services updater 13 January 2014: retail
  • Norton Rose Fulbright LLP
  • Global, United Kingdom
  • January 13 2014

The International Organization of Securities Commissions (IOSCO) has published its final report on the regulation of retail structured products


Crowdfunding
  • Norton Rose Fulbright LLP
  • United Kingdom
  • January 10 2014

Crowdfunding, the term used to describe the increasingly popular method of financing, or re-financing individuals, firms, charities or activities by


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


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


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


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