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 93

FSA consults on permanent short selling rules
  • Locke Lord LLP
  • United Kingdom
  • February 10 2009

We have reported previously on the FSA's temporary ban on short selling of stocks in the UK financial sector, and the disclosure requirements that applied to existing short positions


A Guide to AIM - The Junior Market of the London Stock Exchange
  • Locke Lord LLP
  • United Kingdom
  • January 19 2016

AIM is the junior market of the London Stock Exchange, and has become a leading market for companies all over the world to raise funds for growth and


FCA issues its first public sanction for breaches of the payment services regulations
  • Locke Lord LLP
  • United Kingdom
  • May 9 2013

On 30 April 2013, the Financial Conduct Authority (FCA) issued a public censure to Horn Express Ltd (formerly Qaran Express Money Transfer Limited


HM Treasury outlines framework for FCA regulation of consumer credit
  • Locke Lord LLP
  • United Kingdom
  • March 20 2013

The UK Government has announced plans to transfer consumer credit regulation to the Financial Conduct Authority (FCA) in April 2014, when the current


UK: FCA fines broker, compliance officer and asset manager in relation to market abuse
  • Locke Lord LLP
  • United Kingdom
  • August 15 2013

The FCA issued decision notices last week for three individuals in connection with market abuse by Rameshkumar Goenka (which earned Goenka a fine of


Key changes to the UK Takeover Code 30 September 2013
  • Locke Lord LLP
  • United Kingdom
  • August 6 2013

On 30 September 2013, a number of significant changes to the UK Takeover Code ("Code") will come into effect. Although these changes are not sweeping


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


Court of Appeal signals cooperation with SEC to combat investment fraud
  • Locke Lord LLP
  • United Kingdom
  • February 3 2009

The English Court of Appeal has shown its readiness to cooperate with foreign regulators in this case, the US Securities and Exchange Commission by agreeing to freeze allegedly suspect assets


FSA announces more help for small firms on treating customers fairly (TCF)
  • Locke Lord LLP
  • United Kingdom
  • February 22 2008

The FSA's TCF initiative is a core part of its move to more principle based regulation


FSA reorganisation
  • Locke Lord LLP
  • United Kingdom
  • January 18 2008

On 10 January, the FSA announced the appointment, as of 1 February 2008, of the following