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Results: 1-10 of 165

FSA and SEC meet on strategy
  • Dentons
  • United Kingdom, USA
  • February 5 2010

Lord Turner and Hector Sants met the SEC Chair, Mary Shapiro, to discuss current matters of mutual interest


Government publishes Financial Services Bill
  • Dentons
  • United Kingdom
  • November 20 2009

The Government introduced the Financial Services Bill to Parliament on 19 November


FSA and CFTC agree new MoU
  • Dentons
  • United Kingdom, USA
  • September 18 2009

FSA and CFTC have signed a new MoU on supervision of cross-border clearing organisations


FSA warns of share fraud hit list
  • Dentons
  • United Kingdom
  • February 5 2010

FSA and the City of London Police have written to 6,500 addresses they found on a master list they believe is being circulated to share boiler rooms


CPPS to review clearing and settlement systems
  • Dentons
  • United Kingdom
  • February 5 2010

The Committee on Payment and Settlement Systems and IOSCO are jointly reviewing their existing standards for financial market infrastructures like payment systems, securities settlement systems and central counterparties


Structure of UK financial regulation: fix it or rip it up and start again?
  • Dentons
  • United Kingdom
  • September 22 2009

At last, regulators and policy makers seem to have finished analysing what went wrong with financial regulation


Hedge funds after the crisis
  • Dentons
  • United Kingdom, Global
  • May 12 2009

Regulators worldwide have been busy over the last few months taking emergency measures to address the financial crisis


FSA bans trader
  • Dentons
  • United Kingdom
  • May 22 2009

FSA has banned a former Morgan Stanley commodities trader for trying to hide his trading position


FSA issues new LIST!
  • Dentons
  • United Kingdom
  • May 29 2009

The latest edition of LIST! looks at: property valuation reports; investment trust rollovers; date of portfolio analysis; risk factors; transferring listed securities from a regulated market to an MTF; conflicts principles for sponsors; rights issues; segmentation and labelling of officially-listed securities; effects on LR of changes to DTR5; and interim management statements


FSA announces funding and fees for next year
  • Dentons
  • United Kingdom
  • February 19 2010

FSA has announced its annual funding requirement for 201011 and the basis on which firms will pay for it