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Results: 1-10 of 4,263

Financial Regulatory Developments 9 January - Presidency of the Council of the EU (Presidency)
  • Dentons
  • European Union
  • January 9 2015

The Latvian Presidency has published its programme for the next six months. Among its priorities are:addressing capital market union; progressing


Tribunal upholds market abuse fine
  • Dentons
  • United Kingdom
  • January 4 2013

The Tribunal has upheld the fine imposed on Patrick Sejean. Mr Sejean had appealed FSA's finding and fine for market abuse. The Tribunal had upheld the


Financial Regulatory Developments 9 January - Joint Committee of European Supervisory Authorities (ESAs) (EBA, ESMA and EIOPA)
  • Dentons
  • European Union
  • January 9 2015

The Joint Committee of ESAs has published the final draft of the Joint Guidelines on the convergence of practices aimed at ensuring consistency of


FSA updates on PRA transition
  • Dentons
  • United Kingdom
  • January 4 2013

FSA has updated firms on how those that will be subject to PRA regulation from 1 April 2013 should prepare for "legal cut-over". Key points include: PRA


Up next from FSA
  • Dentons
  • United Kingdom
  • January 4 2013

According to FSA's work timetable, published in its latest Policy Development Update, FSA expects to issue, during the first quarter of 2013, policy


IOSCO reports on CRA internal controls and supervisory colleges
  • Dentons
  • Global
  • January 4 2013

IOSCO has published two reports on CRAs. The first is a final report on their internal controls and management of conflicts of interests. IOSCO expects


FSA consults on mutuality and with-profits
  • Dentons
  • United Kingdom
  • January 4 2013

FSA is consulting on a change in approach to how the rules on with-profits funds in the Conduct of Business Sourcebook (COBS) affect with-profits mutuals


FSA censures firm and bans ex-CEO for high pressure sales
  • Dentons
  • United Kingdom
  • January 4 2013

FSA has publicly censured Gracechurch Investments Limited for misconduct, including using pressure-selling tactics on customers to invest in the shares of


Boe and FSA consult on powers over parents
  • Dentons
  • United Kingdom
  • January 4 2013

BoE and FSA are consulting on how PRA will use the powers of direction that the Financial Services Act 2012 has given it over "qualifying parent


EP updates voting dates
  • Dentons
  • European Union
  • January 4 2013

EP has updated the forecast voting dates in relation to: European Social Entrepreneurship and Venture Capital Funds: 12 March 2013 is the indicative