Matthew Hodgson

Dentons

Articles

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ESMA consults on short-selling technical advice

European Union - February 17 2012 ESMA has published its draft advice on technical measures under the Regulation on short-selling and credit default swaps.

FSA and FINMA confirm UBS enforcement action

Switzerland, United Kingdom - February 10 2012 FSA has published a statement confirming both it and the Swiss Financial Market Supervisory Authority (FINMA) have commenced formal enforcement investigations against UBS in respect of trading losses incurred by the UBS AG London branch.

ECON publishes EESC opinion on CRD IV

European Union - February 10 2012 ECON has published the opinion of the European Economic and Social Committee on the proposal for the Directive and Regulation that will comprise what is known as the fourth Capital Requirements Directive (CRD IV).

FSA fines and bans over misconduct

United Kingdom - February 3 2012 FSA has fined a trader and former compliance officer £130,000 for failing to make reasonable enquiries before selling his firm's shareholding in Punch Taverns.

FSA finalises CCP risk management guidance

United Kingdom - February 3 2012 FSA has published its finalised guidance on its reviews of counterparty credit risk management by central counterparties.