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Results: 1-10 of 93

FSA publishes guidance on the risks to customers from financial incentives
  • Locke Lord LLP
  • United Kingdom
  • January 22 2013

Final guidance aimed at stopping financial firms from running incentive schemes that encourage mis-selling was published by the Financial Services


The broker scheme of arrangement
  • Locke Lord LLP
  • United Kingdom
  • May 23 2014

On 16 April 2014 we assisted J.K. Buckenham Limited (JKB) in successfully obtaining the court's leave to convene a meeting of its creditors, a


How "final" is a "final and binding" decision from the Financial Ombudsman Service?
  • Locke Lord LLP
  • United Kingdom
  • January 10 2013

At its most basic, the Financial Ombudsman Service (FOS) is there to resolve disputes between consumers and financial services providers. If an "eligible


FCA bans promotion of UCIS and fines investment firm £6m for related failings
  • Locke Lord LLP
  • United Kingdom
  • June 7 2013

On 4 June 2013, the FCA published its final rules banning the promotion of Unregulated Collective Investment Schemes (UCIS) and various similar


UK regulatory architecture: the article I really wish I'd written...and the article I could hardly bring myself to write
  • Locke Lord LLP
  • United Kingdom
  • October 22 2012

This weekend's Financial Times carried an article I really wish I'd written


The FSA publishes two reports relating to the use of unfair terms in consumer contracts
  • Locke Lord LLP
  • United Kingdom
  • June 13 2008

In addition to its core principles and rules, which require insurers to treat their customers fairly, the FSA has powers under the UK's Unfair Terms in Consumer Contracts Regulations 1999 (Regulations) to challenge firms that use unfair terms in their standard consumer contracts and to require firms to change those terms where necessary


Treating customers fairly in wholesale markets
  • Locke Lord LLP
  • United Kingdom
  • May 8 2008

Sarah Wilson, Financial Services Authority (FSA) Director of the Retail Firms Division, gave a speech on Treating Customers Fairly (TCF) in wholesale markets at the Protiviti breakfast meeting on 15 April 2008


The Financial Services Authority (FSA) has identified weaknesses in the attitude of firms to data security and threatens sanctions
  • Locke Lord LLP
  • United Kingdom
  • May 2 2008

The FSA's financial crime and intelligence sector has carried out a review of data security systems and controls in place in 39 UK companies operating across all of the different financial services sectors


FSA publishes interim report on Retail Distribution Review 2007
  • Locke Lord LLP
  • United Kingdom
  • May 2 2008

The Financial Services Authority ("FSA") published an interim report in respect of the Retail Distribution Review ("RDR") discussion paper it published in 2007


SEC adopts amendments to Rules 144 and 145
  • Locke Lord LLP
  • United Kingdom
  • November 21 2007

On November 15, 2007, the SEC adopted amendments to Rules 144 and 145