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FSA moves to prevent undisclosed stakebuilding
  • Reed Smith LLP
  • Germany, United Kingdom
  • October 31 2008

The uproar surrounding Porsche’s massive undisclosed stake in Volkswagen has illustrated the potential market failures which can arise as a result of secret stakebuilding using cash-settled derivatives

FSA makes new rules
  • Dentons
  • United Kingdom
  • November 7 2008

At FSA’s October Board meeting, it made the following new Rules

UK definition of "financial instrument" harmonized
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • December 5 2008

On December 2, the definition of "financial instrument" found in Part 6 of the Financial Services and Markets Act 2000 and in Article 5 of the Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Instruments) Order 2001 (SI 2001996) was amended by the publication of the Definition of Financial Instrument Order 2008 (SI 20083053

FSA Market Watch newsletter - Issue No. 30
  • Shepherd & Wedderburn LLP
  • United Kingdom
  • November 28 2008

The FSA published Market Watch No. 30 on 19 November 2008

UK FSA new rules on disclosure of Contracts for Difference effective 1 June 2009
  • Schulte Roth & Zabel LLP
  • United Kingdom
  • March 6 2009

The UK Financial Services Authority ('FSA') has published a Policy Statement (PS093), including Final Rules, in relation to the disclosure of Contracts for Difference ('CfDs') and similar financial instruments

Disclosure of contracts for difference
  • Nabarro LLP
  • United Kingdom
  • March 10 2009

With effect from 1 June 2009, contracts for difference (CFDs) and other synthetic holdings in listed companies will be subject to the same disclosure and notification requirements as apply to direct holdings of shares

Short selling regulation: round up of latest key developments
  • Hogan Lovells
  • European Union, United Kingdom
  • July 5 2013

In the last month, there have been some developments in relation to the EU Regulation 2362012 on short selling and certain aspects of credit default

National occupational standards for advising on securities & derivatives
  • Norton Rose Fulbright LLP
  • United Kingdom
  • February 22 2010

The Financial Services Skills Council (FSSC) has published final draft versions of national occupational standards (NOS) for providing retail advice on securities and derivatives and for providing advice on securities and derivatives in the non-retail market

The FSA has published its markets regulatory agenda
  • Reed Smith LLP
  • United Kingdom
  • June 3 2010

Key focus of the FSA in this area will be on: reforming OTC derivative markets; stronger global standards for clearing houses; better arrangements for handling defaults in the clearing and settlement system; greater transparency in non-equity markets; and establishing the regime for oversight of credit rating agencies

FSA fines and bans oil broker for market abuse
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 2 2010

On June 28, the UK Financial Services Authority (FSA) announced that it had fined Steven Perkins, a former oil broker, £72,000 (approximately $109,000) for market abuse and had banned him from working in the UK financial services industry for a minimum of five years on the grounds that he was not a fit and proper person