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Results: 1-10 of 42

FSA writes to trade associations on capital
  • Dentons
  • United Kingdom
  • March 27 2009

FSA has written to trade associations to explain how it views ICG in the context of the current economic circumstances


Treasury makes controllers exemption order
  • Dentons
  • United Kingdom
  • April 3 2009

Treasury has made an exemptions order that applies general exemptions to UK authorised persons which are not subject to supervision under relevant EC directives (the relevant Directives are MiFID, the BCD, UCITS Directive and insurance and reinsurance company Directives


FSA on the conference circuit
  • Dentons
  • United Kingdom
  • September 25 2009

In the past week, Sally Dewar spoke to FSA’s Asset Management Sector conference on the AIFMD


Treasury publishes new controllers regulations
  • Dentons
  • United Kingdom
  • March 20 2009

The Financial Services and Markets Act 2000 (Controllers) Regulations 2009 come into force on 21 March


FSA publishes rules on adviser charging
  • Dentons
  • United Kingdom
  • April 1 2010

FSA has published new rules that will remove commission bias from the sale of retail investment products and aim to restore consumer confidence in the market


FSA makes new fees and other rules
  • Dentons
  • United Kingdom
  • June 5 2009

At FSA’s May board meeting, it made the Periodic Fees (20092010) and Other Fees Instrument 2009: this took effect from 1 June and changes the Glossary, FEES and DISP


FSA feeds back on remuneration extension
  • Dentons
  • United Kingdom
  • December 11 2009

FSA has published a summary of the feedback it got on whether it should extend its remuneration code to other FSA-authorised firms


FSA consults on adviser standards
  • Dentons
  • United Kingdom
  • December 23 2009

FSA is consulting on enhancing the professionalism of investment advisers under the RDR


FSA strengthens stress testing
  • Dentons
  • United Kingdom
  • December 23 2009

FSA has strengthened its stress testing regime by introducing a new approach to stress testing


FSA consults on CASS
  • Dentons
  • United Kingdom
  • April 1 2010

FSA has published Consultation Paper 109 on enhancing the Client Assets Sourcebook