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Financial Services Authority confirms changes to the rules for approved persons
  • Locke Lord LLP
  • United Kingdom
  • August 4 2009

On 27 July 2009, the Financial Services Authority (the FSA) issued PS0914: "The approved persons regime - significant influence function review" (the Policy Statement) confirming that it will extend the approved persons regime for those that perform a 'significant influence' function at firms


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


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


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


UK FSA fines prudential £30m, censures CEO for failure to disclose
  • Locke Lord LLP
  • United Kingdom
  • March 27 2013

Earlier today, the UK Financial Services Authority fined two member companies of the Prudential Group a total of £30 million for failing to disclose


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


PRA publishes policy statement on its power of direction over qualifying parent undertakings
  • Locke Lord LLP
  • United Kingdom
  • April 11 2013

On 1 April 2013, the Prudential Regulation Authority (PRA) published a policy statement on its power of direction over qualifying parent undertakings


HM treasury publishes amended draft regulations for the Alternative Investment Fund Managers Directive
  • Locke Lord LLP
  • United Kingdom
  • May 15 2013

On 13 May 2013, HM Treasury published the response to its further consultation on the transposition into UK law of the Alternative Investment Fund


FSA confirms FCA approach to using Temporary Product Intervention Rules
  • Locke Lord LLP
  • United Kingdom
  • March 27 2013

On 25 March 2013, the UK's Financial Services Authority (FSA) published a Policy Statement which confirms that the Financial Conduct Authority (FCA


FCA Chairman outlines areas for change in speech to TheCityUK seminar
  • Locke Lord LLP
  • United Kingdom
  • June 19 2013

In his first major speech as Chairman of the FCA, John Griffith-Jones told attendees at TheCityUK's London seminar on 13 June how he felt that both