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Results: 1-10 of 569

TheCityUK lays out vision for financial services industry
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 18 2010

TheCityUK is an independent body, established with the support of the City of London Corporation and in consultation with government and industry


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 29 2010

Following a summary judgment application brought by the FSA, the High Court found that John Anderson, Kenneth Peacock and Kautilya Nandan Pruthi were in breach of section 19 of the Financial Services and Markets Act 2000 by unlawfully accepting deposits from UK consumers


Review of the Money Laundering Regulations 2007
  • Norton Rose Fulbright LLP
  • United Kingdom
  • September 24 2009

HM Treasury has published a new page on its website stating that it is planning a review of the Money Laundering Regulations 2007 (2007 Regulations


Structured investment products suitability assessment template - FAQs
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 22 2010

The FSA has published frequently asked questions that are designed to help firms understand and interpret the structured investment products suitability assessment template that was published on 27 October 2009


HM Revenue & Customs - bank payroll tax update
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 22 2010

HM Revenue & Customs has published a note setting out further changes to the scope of bank payroll tax


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


FSA fines broker for failing to prevent insider dealing
  • Norton Rose Fulbright LLP
  • United Kingdom
  • September 21 2009

On 9 September 2009, the FSA announced that it had fined an investment adviser at a retail stockbroking firm £20,000 for a breach of Principle 3 in failing to identify that a transaction was being conducted on the basis of inside information


The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2010
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 1 2010

On 19 January 2010, there was published on the Office of Public Sector Information (OPSI) website The Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) Order 2010 (the Order


Financial Promotions Industry Update no.3
  • Norton Rose Fulbright LLP
  • United Kingdom
  • October 12 2009

The FSA has published its latest Financial Promotions Industry Update which covers stand-alone compliance


Policy Statement 0916: strengthening liquidity standards including feedback on CP0822, CP0913 and CP0914
  • Norton Rose Fulbright LLP
  • United Kingdom
  • October 12 2009

The FSA has published its final rules on firms’ liquidity requirements following a number of consultations over the last two years