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Results: 1-10 of 829

Twelve o’clock high: court upholds “tail-gunner” clause and awards success fee to former financial adviser
  • Norton Rose Fulbright
  • United Kingdom
  • June 4 2010

In Seymour Pierce Limited v Grandtop International Holdings Limited 2010 EWHC 676 (QB) Mr Justice Eady upheld a "tail-gunner" clause in a financial adviser's engagement letter and awarded a success fee to the financial adviser after its former client completed a takeover of Birmingham City Football Club (with a different adviser) and even though its original retainer had been terminated


The small firms financial crime review
  • Norton Rose Fulbright
  • 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
  • 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
  • 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


Avoiding corruption risks in the city: the Bribery Act 2010
  • Norton Rose Fulbright
  • United Kingdom
  • May 31 2010

The City of London Corporation has published a report prepared by Transparency International which is entitled Avoiding Corruption Risks in the City: The Bribery Act 2010


The six-month time limit
  • Norton Rose Fulbright
  • 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 Queen’s Speech - BBA comment
  • Norton Rose Fulbright
  • United Kingdom
  • May 31 2010

The British Bankers' Association (BBA) has issued a short press statement on the Queen's Speech


Government commits to transparent, fair and independently designed payment scheme for Equitable Life policyholders that is swift, simple, transparent and fair
  • Norton Rose Fulbright
  • United Kingdom
  • May 31 2010

The Financial Secretary to the Treasury, Mark Hoban MP, has announced that the Government will take forward a Bill to enable payments to be made in relation to Equitable Life, as included in the Queen's Speech to Parliament


Commission sets out vision for bank resolution funds
  • Norton Rose Fulbright
  • European Union
  • May 31 2010

The European Commission has published a Communication which sets out its thinking on how the financial sector could contribute to the cost of financing the resolution of failing banks


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

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