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Results: 1-10 of 121

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


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


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


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


Financial Services Authority and Financial Reporting Council publish discussion paper on auditors' role in prudential regulation
  • Locke Lord LLP
  • United Kingdom
  • July 9 2010

On 30 June 2010, the UK's Financial Services Authority (FSA) and Financial Reporting Council (FRC) published a joint discussion paper (DP) entitled "Enhancing the auditor's contribution to prudential regulation"


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


FSA issues reminder on its approval and interview process for significant influence functions
  • Locke Lord LLP
  • United Kingdom
  • October 27 2009

On 14 October 2009, the FSA wrote to the CEOs of certain regulated firms to clarify its new approach to the approval and supervision of persons performing significant influence functions (SIFs


Steering group launched to guide development of "simple" financial products
  • Locke Lord LLP
  • United Kingdom
  • October 25 2011

On 20 October 2011, Mark Hobson, the Financial Secretary to the Treasury, announced the establishment of a new steering group whose aim is to develop a new, simple suite of financial products to help consumers navigate the financial services market


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