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 165

FSA extends approved persons regime
  • Dentons
  • United Kingdom
  • July 31 2009

FSA has made changes to SUP in respect of the CF1 and CF2 director and NED functions


Treasury plans easier trading suspension notifications
  • Dentons
  • United Kingdom
  • July 31 2009

Treasury is consulting on plans to make it easier for FSA to notify the market of decisions to suspend trading


Treasury and FSA respond on harmonisation of securities laws
  • Dentons
  • United Kingdom
  • July 31 2009

Treasury and FSA have responded to the Commission’s consultation on harmonisation of securities law


FSA reveals market-wide exercise results
  • Dentons
  • United Kingdom
  • February 12 2010

FSA has published the results of a market-wide exercise carried out by the Tripartite authorities in November


Unfair contract terms: "read and understood" declarations
  • Dentons
  • United Kingdom
  • January 28 2009

Under the Unfair Terms in Consumer Contracts Regulations 1999 (the Regulations), FSA has the power to challenge FSA-regulated firms that are using terms which they view as unfair


MiFID plus one would FSA be happy with your policies?
  • Dentons
  • United Kingdom
  • March 10 2009

Firms have had over a year to comply with FSA’s rules that implemented MiFID


COBS telephone recording rules now in force
  • Dentons
  • United Kingdom
  • March 13 2009

The new rules in COBS that require firms to record telephone conversations in respect of dealings in certain financial instruments for or on behalf of clients took effect from 6 March


FSA consults on remuneration policies
  • Dentons
  • United Kingdom
  • March 20 2009

Following FSA’s publication of a draft Code of practice on remuneration at the end of February, it is now consulting on incorporating the Code (which it has revised considerably since its publication) into its Handbook


FSA says people should be frightened
  • Dentons
  • United Kingdom
  • March 20 2009

In a speech to a Reuters event, Hector Sants spoke of FSA’s role in intensive supervision and credible deterrence


FSA speaks on hedge funds
  • Dentons
  • United Kingdom
  • March 27 2009

Dan Waters looked at regulatory challenges for fund managers