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Results: 1-10 of 127

FSA fines and bans advisor for advising retail customers to buy unregulated collective investment schemes
  • Locke Lord LLP
  • United Kingdom
  • October 30 2012

On 29 October 2012, the FSA fined Martin Rigney, a partner and the only advisor at Topps Rogers, £117,330 and banned him from performing any function in relation to any regulated activity in the financial services industry


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


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


UK regulatory architecture: the article I really wish I'd written...and the article I could hardly bring myself to write
  • Locke Lord LLP
  • United Kingdom
  • October 22 2012

This weekend's Financial Times carried an article I really wish I'd written


FSA wins appeal against Fox Hayes for breach of financial promotions regime
  • Locke Lord LLP
  • United Kingdom
  • February 23 2009

The Court of Appeal has awarded victory to the Financial Services Authority (FSA) in a case against solicitors Fox Hayes regarding the approval of financial promotions on behalf of others


FSA consultation: the Client Assets Sourcebook
  • Locke Lord LLP
  • United Kingdom
  • April 1 2008

The Financial Services Authority (FSA) has published a consultation paper (CP 086) in respect of a review of the provisions of the Client Assets Sourcebook (CASS


FSA publishes its 200910 Business Plan
  • Locke Lord LLP
  • United Kingdom
  • February 24 2009

On 9 February 2009, the Financial Services Authority (FSA) published its Business Plan for the financial year 1 April 2009 to 30 March 2010 which addresses the risks highlighted in the Financial Risk Outlook released on the same day


FSA prosecutes for change of control offence
  • Locke Lord LLP
  • United Kingdom
  • February 19 2010

Semperian PPP Investment Partners (Semperian) has pleaded guilty to an offence under section 191(3) of the Financial Services and Markets Act 2000


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


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