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UK: EMIR countdown: Notification forms for 15 March and new Regulations for 1 April 2013
The FSA has published final versions of notification forms for the purposes of the European Market Infrastructure Regulation (EMIR) for use by from …
UK: Individual fails in large mis-selling claim concerning leveraged investments in structured notes
In a strongly worded judgment, the Commercial Court has dismissed a large mis-selling claim brought by an individual in connection with a number of …
ISDA publishes EMIR Non-Financial Counterparty Representation Protocol and Timely Confirmation Amendment Agreement
The International Swaps and Derivatives Association, Inc. (ISDA) has published its March 2013 EMIR Non-Financial Counterparty (NFC) …
HK: further success for banks in defending investment mis-selling claims
In a decision which continues the general trend of recent pro-bank judicial rulings on mis-selling cases, the Hong Kong Court of First Instance today …
European Banking Authority consults on draft regulatory technical standards for recovery plans
The European Banking Authority (EBA) has published a consultation paper containing draft Regulatory Technical Standards (RTSs) on the content of …
UK: Regulatory reform: FCA and PRA Handbooks published
The FSA has published future versions of the Handbooks of the FCA and PRA, together with a Guide to how the Handbook rules have been designated,. …
UK: Equities trader receives 2 year sentence for disclosing inside information
Paul Milsom, a senior equities trader, has been sentenced to two years' imprisonment for improper disclosure of inside information about forthcoming …
EU: EBA's report on good practices for ETF risk management
The European Banking Authority (EBA) today published an opinion addressed to competent authorities (as defined in the Capital Requirements …
UK: Honesty, integrity and banking transactions
In the recent case of Jeremy Stone v National Westminster Bank Plc [2013] EWHC 208 (Ch), Mr Justice Sales in the High Court confirmed that a private …
UK: PRA Board members appointed
The Court of the Bank of England has announced the appointment of three independent directors to the Board of the Prudential Regulation Authority (PRA) …
UK: Regulatory Reform - rolling out the building blocks for legal cutover on 1 April 2013
Statutory instruments to fill in the regulatory framework - following the enactment of the Financial Services Act 2012 (the 2012 Act), which amends the …
UK: Improving accountability of the FCA and the financial services industry through transparency and more effective disclosure
Being a transparent regulator is at the heart of the approach of the new Financial Conduct Authority (FCA). Clearly there is a need to strike the …
Showing 1,632 out of 1,844 results
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