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Results: 1-10 of 88

New FCA Handbook and PRA Rulebook websites to launch next week
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • August 21 2015

On August 17, the UK Financial Conduct Authority (FCA) announced on the front page of its online rulebook, which currently also includes the rules of


Bank of England Head to Chancellor of the Exchequer: give me the power
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • August 16 2015

Mark Carney, Governor of the Bank of England, suggested the Bank might need more authority to regulate the investment activities of open-ended


FCA finds continued weakness in firms’ oversight of benchmark activities
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • August 2 2015

The United Kingdom Financial Conduct Authority found inconsistent progress in firms' oversight and controls related to contributing data and


UK Fair and Effective Markets review calls for upping the standards in UK and global fixed income, currency and commodity markets
  • Katten Muchin Rosenman LLP
  • Global, United Kingdom
  • June 14 2015

The Fair and Effective Markets Review issued 21 recommendations to "restore trust" in the institutionally traded fixed income, currency and commodity


FCA announces major restructuring
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • December 12 2014

On December 8, the UK Financial Conduct Authority (FCA) announced a new strategic approach that is intended to provide a “sharper focus” for the


FCA requirement for legal entity identifiers
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 14 2014

On November 7, the UK Financial Conduct Authority (FCA) has confirmed that it will require all financial institutions conducting business in or from


Financial Conduct Authority provides guidance on its approach to attestations for FCA authorized firms
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • August 29 2014

On August 26, the UK Financial Conduct Authority (FCA) published a letter dated August 22, 2014 (Letter) addressed to the FCA Practitioner Panel. The


FSA updates guide to the new PRA and FCA handbooks
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • February 22 2013

On February 19, the UK Financial Services Authority (FSA) published an updated "one-minute guide" summarizing the changes to the FSA Handbook that


FSA requires asset managers to address conflicts of interest
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 16 2012

On November 9, the UK Financial Services Authority (FSA) issued a paper entitled “Conflicts of interest between asset managers and their customers: Identifying and mitigating the risks” (the Paper


FSA fines manager for systemic suitability failings
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 16 2012

On November 14, the UK Financial Services Authority (FSA) announced that it had fined Savoy Investment Management Limited (Savoy) £412,000 (approximately $653,000) for failing to take reasonable care to ensure the suitability of the investment portfolios of its wealth management clients