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Results: 1-10 of 639

Complaints handling powers and the Human Rights Act
  • Shepherd & Wedderburn LLP
  • United Kingdom
  • September 3 2008

The Financial Ombudsman Service (FOS) was established under the Financial Services and Markets Act 2000 (FSMA) in order to resolve certain types of disputes between firms and their retail clients in a relatively fast, informal and independent process


The regulator’s guidance on securities lending
  • Mayer Brown LLP
  • United Kingdom
  • May 21 2010

The Regulator has issued a guidance note for trustees about securities lending


General counsel update
  • Herbert Smith Freehills LLP
  • European Union, United Kingdom
  • June 17 2011

This is the twenty-fifth in our series of general counsel updates which aim to summarise major developments in key areas


Clients & Friends Newsletter - June 2014
  • Baker & McKenzie
  • Australia, China, Czech Republic, European Union, Hong Kong, Malaysia, New Zealand, Singapore, Spain, United Kingdom
  • June 30 2014

The Australian tax year will end on June 30, 2014, and companies will be required to report any taxable events related to employee share awards to


Time (bar) is of the essence
  • RPC
  • United Kingdom
  • September 19 2011

Last Thursday marked the third anniversary of the collapse of Lehman Brothers which may have drawn a line in the sands of time for complaints about the mis-selling of investments before September 2005


FSA publishes quarterly consultation
  • Dentons
  • United Kingdom
  • March 9 2012

FSA's latest quarterly consultation seeks views on: changes to the Training and Competence Sourcebook (TC) to add a new qualification to the list


FSA update - 29 October 2012
  • Clifford Chance LLP
  • United Kingdom
  • October 29 2012

In separate actions concluded in Final Notices dated 17 October 2012 and 20 August 2012 respectively but released last week, the FSA has imposed financial penalties of £205,128 and £49,000 respectively on Plus500UK Limited ("Plus500") and James Sharp and Company ("James Sharp") for failures in their transaction reporting systems


Recent developments for the first quarter 2013
  • Baker & McKenzie
  • Australia, Canada, European Union, France, Germany, Ireland, Switzerland, Turkey, United Kingdom, USA, Israel, Japan, New Zealand, Romania, Russia, Singapore
  • June 27 2013

The North American Global Equity Services ("GES") practice group is pleased to provide the current edition of our Clients and Friends Newsletter


On the horizon for 2013
  • Dentons
  • United Kingdom
  • January 17 2013

Our experts select the highlights likely to impact businesses in the UK generally, so you can check quickly


International regulatory update 21 December 2012-4 January 2013
  • Clifford Chance LLP
  • China, European Union, Germany, Hong Kong, Malaysia, Singapore, Spain, United Kingdom, USA
  • January 7 2013

Ireland commences EU Council Presidency PRIPS: ECON Committee reports on proposed Regulation on key information documents EMIR: Implementing