We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 569

Consultation Paper 103: Effective corporate governance (Significant influence controlled functions and the Walker review)
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 1 2010

On 28 January 2010, the FSA published Consultation Paper 103: Effective corporate governance (Significant influence controlled functions and the Walker review) (CP103


Feedback Statement 091: Insurance Risk Management: The Path to Solvency II - feedback on DP084
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 11 2009

In September 2008, the FSA published Discussion Paper 084: Insurance Risk Management: The Path to Solvency II (DP084


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


Securities Borrowing and Lending Code of Guidance
  • Norton Rose Fulbright LLP
  • United Kingdom
  • August 6 2009

The Securities Lending and Repo Committee of the Bank of England has published a revised version of the Securities Borrowing and Lending Code of Guidance (the Code


Mansion House speech
  • Norton Rose Fulbright LLP
  • United Kingdom
  • October 12 2009

Adair Turner, Chairman, FSA, gave a speech at the Mansion House City Banquet on 22 September 2009


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


Listing wholesale debt in London - a practitioner's guide
  • Norton Rose Fulbright LLP
  • United Kingdom
  • January 18 2010

The FSA has published a practitioner's guide to listing wholesale debt in London


FSA final notices
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 4 2009

A hedge fund's portfolio manager, and approved person, has been prohibited and fined £35,000 for lack of honesty and integrity in breach of Statement of Principle 1 due to his deliberate mismarking of trading positions to conceal losses and avoid losing his job in accordance with a stop loss procedure


FSA charges ex-hedge fund trader
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 3 2010

The FSA has charged Anjam Ahmad, an ex-hedge fund trader, with one count of conspiracy to commit insider dealing contrary to section 1 of the Criminal Law Act 1977


Former Cazenove partner found guilty of insider dealing
  • Norton Rose Fulbright LLP
  • United Kingdom
  • March 15 2010

Malcolm Calvert, a former equities marketmaker who had retired from stock broker Cazenove, was found guilty of five counts of insider dealing