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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 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


Policy Statement 0920: Stress and Scenario Testing - feedback on CP0824 and final rules
  • Norton Rose Fulbright LLP
  • United Kingdom
  • December 21 2009

The FSA has published Policy Statement 0920: Stress and Scenario Testing - feedback on CP0824 and final rules (PS0920


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


Integrity: when honesty is not enough
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 8 2010

Integrity is a concept usually associated with honesty


The draft directive on alternative investment fund managers
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 25 2010

On 4 March 2009, the Commission published its Communication for the Spring European Council which stated that in April 2009 the Commission would propose:"A comprehensive legislative instrument establishing regulatory and supervisory standards for hedge funds, private equity and other systemically important market players."


Financial services updater 13 January 2014: enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • January 13 2014

The FCA has fined JLT Specialty Limited (JLTSL), which provides insurance broking and risk management services, £1,876,000 for failing to maintain


CESR publishes a report on the Lehman Brothers default and provides an assessment of the market impact
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 30 2009

On 23 March 2009, the Committee of European Securities Regulators (CESR) published a report on the market impact of the Lehman Brothers default


FSA speech - Lessons from the financial crisis
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 30 2009

The FSA has published a speech by Verena Ross (Director of Strategy and Risk) entitled Lessons from the financial crisis


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