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


FSA consults on changes to short selling rules
  • Locke Lord LLP
  • United Kingdom
  • January 7 2009

We reported last year on the SEC's and FSA's bans on short selling in financial companies


Integration of the Treating Customers Fairly (TCF) initiative into the core supervisory work of the Financial Services Authority (FSA)
  • Locke Lord LLP
  • United Kingdom
  • December 5 2008

The FSA has brought forward the date from which it will fully integrate TCF into its supervisory work from September 2009 to January 2009


FSA lifts short selling ban
  • Locke Lord LLP
  • United Kingdom
  • January 16 2009

We reported last week that the FSA was consulting on whether to lift its ban on short selling of stocks in financial companies and certain amendments to the disclosure rules in connection with 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


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


FCA issues first fine for client asset breaches under new penalty regime
  • Locke Lord LLP
  • United Kingdom
  • June 19 2013

The FCA has issued its first fine for breaches of client asset rules under the new penalty regime. The fine was imposed on 11 June 2013 on retail


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


UK: the financial Conduct Authority announces its policy for publishing information about enforcement warning notices
  • Locke Lord LLP
  • United Kingdom
  • December 18 2013

The Financial Conduct Authority (FCA) has published its policy statement on 'Publishing Information about Enforcement Warning Notices'; aimed at