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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


Financial Services Authority (FSA) has postponed discussion paper (DP) on regulatory transparency
  • Locke Lord LLP
  • United Kingdom
  • May 19 2008

The FSA has delayed, for a second time, a planned DP on regulatory transparency


FSA update on firms' progress towards achieving the outcomes of treating customers fairly
  • Locke Lord LLP
  • United Kingdom
  • July 7 2008

The FSA has published an update on firms' progress toward meeting the December 2008 deadline of the Treating Customers Fairly initiative (TCF


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


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


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


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


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


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


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