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Results: 1-10 of 569

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


The new FCA consumer credit regime
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 29 2014

On 28 February 2014, the FCA published Policy Statement 143: Final rules for consumer credit firms (the PS). In the PS the FCA set out its final


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


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 7 2009

An insurance broker has been prohibited following his conviction for conspiracy to defraud


Review of the regulation of credit and store cards: government response to consultation
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 22 2010

In October 2009, the Department for Business, Innovation & Skills (BIS) published a White Paper which was entitled Review of the regulation of credit and store cards: A consultation


The Financial Collateral Arrangements (No. 2) Regulations 2003 (Amendment) Regulations 2009
  • Norton Rose Fulbright LLP
  • United Kingdom
  • September 14 2009

The Office of Public Sector Information (OPSI) has published the Financial Collateral Arrangements (No. 2) Regulations 2003 (Amendment) Regulations 2009


Commentary on the PRA's Consultation Paper on its approach to supervising international banks
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 3 2014

The Prudential Regulation Authority (PRA) has published Consultation Paper 414 - Supervising international banks: the PRA's approach to branch


IMA release - fund management costs and performance (October 2009)
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 2 2009

The Investment Management Association (IMA) has published research on fund management costs and performance which seems to oppose the claim that investors are exposed to large hidden charges in their funds


Paul Tucker speech at Barclays Annual Lecture
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 2 2009

Paul Tucker, Deputy Governor, Financial Stability, Bank of England, gave a speech at the Barclays Annual Lecture in which he outlined the Bank’s thinking on the development of a "toolkit" of macro-prudential instruments with the prime purpose of making the financial system more resilient to swings in the credit cycle


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • November 30 2009

Nomura International Plc ("Nomura") has been fined £1.75 million for breaches of Principles 2 and 3 of the FSA’s Principles for Businesses