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Results: 1-10 of 367

The small firms financial crime review
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

In April 2008, the FSA launched a major thematic project which was aimed at establishing the extent to which small firms across the financial services industry addressed financial crime risks in their businesses


CESR report - technical details of the pan-European short selling disclosure regime
  • Norton Rose Fulbright LLP
  • European Union
  • May 31 2010

The Committee of European Securities Regulators (CESR) has published a report it has sent to the European Commission on the technical details of a pan-European short selling disclosure regime


Public hearing "market abuse: promoting deterrence, market integrity and investor protection"
  • Norton Rose Fulbright LLP
  • European Union
  • May 31 2010

The European Commission is holding a public hearing on the review of the Market Abuse Directive (MAD) on 2 July 2010 in Brussels


FSA enforcement
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

A former inter-dealer broker has been prohibited in connection with deliberate unauthorised trades


Something old and something new: Novel and familiar drivers of the latest crisis
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

The FSA has published a speech given by Adair Turner (Chairman, FSA) entitled Something old and something new: Novel and familiar drivers of the latest crisis


CESR intensifies co-ordination in the light of recent market volatility in euro denominated debt instruments
  • Norton Rose Fulbright LLP
  • European Union
  • May 31 2010

The Committee of European Securities Regulators (CESR) has issued a press release stating that it is intensifying the co-ordination of its members' market surveillance following the recent market volatility in euro denominated debt instruments


IOSCO publishes principles on cross-border supervisory cooperation
  • Norton Rose Fulbright LLP
  • Global
  • May 31 2010

The International Organization of Securities Commissions (IOSCO) has published a final report which sets out principles regarding cross-border supervisory cooperation


The six-month time limit
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

The Financial Ombudsman Service (FOS) has published an online technical resource note that explains the "six-month time limit" for referring complaints to it


The FSA’s markets regulatory agenda
  • Norton Rose Fulbright LLP
  • United Kingdom
  • May 31 2010

The FSA has published a paper which is entitled The FSA's markets regulatory agenda


CESR technical advice on the equivalence between the US regulatory and supervisory framework and the EU regulatory regime for CRAs
  • Norton Rose Fulbright LLP
  • USA, European Union
  • May 31 2010

The Committee of European Securities Regulators (CESR) has published its technical advice to the European Commission on the equivalence between the US regulatory and supervisory framework and the EU regulatory regime for credit rating agencies (CRAs