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Independent Commission on Banking publishes final report
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • September 16 2011

The Independent Commission on Banking (ICB) published its Final Report on September 12.


FSA consults on enhancing Client Asset protection
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • April 9 2010

The UK Financial Services Authority (FSA) has published a consultation paper on enhancing its Client Assets rulesthe CASS sourcebook.


FSA proposes further amendments to UK listing rules
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • December 5 2008

On December 1, the UK Financial Services Authority (FSA) published CP0821 Consultation on amendments to the Listing Rules and feedback on DP081, a feedback statement following its review of the UK listing regime published in January 2008.


FSA publishes quarterly consultation
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • January 11 2008

On January 4, the UK Financial Services Authority (FSA) published its 15th quarterly consultation (CP 081) setting out various proposed changes to its handbook.


FSA launches consultation on changes to close links reporting
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • December 14 2007

On December 10, the UK Financial Services Authority published Close Links (consultation paper CP 0721) calling for submissions on its proposals to remove the annual close links reporting requirement and providing more detail on event driven and monthly close links notifications and currently applicable to FSA regulated entities.


FSA issues policy statement on listing investment entities
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • December 14 2007

On December 7, the UK Financial Services Authority (FSA) published its policy statement PS0720 containing its final rules following three rounds of consultations in connection with its Investment Entities Listing Review.


FSA sets out good practice for managing compliance risk
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 27 2007

On July 25, the Financial Services Authority (FSA) published its observations on good practices for managing compliance risk in major investment banks.


FSA leaves directive-minimum listing door open
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • April 6 2007

The UK Financial Services Authority (FSA) announced on April 4 that it will keep its current simplified regime for secondary listings of funds until the first quarter of 2008 before moving to a single regime which will be super-equivalent to the EU Prospectus Directive’s minimum requirements.


FSA publishes perimeter guidance relating to MiFID
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • March 30 2007

On March 23, the UK Financial Services Authority (FSA) published policy statement PS075 “Perimeter Guidance relating to MiFID”.