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UK regulatory reform: Consultation on the policy for the designation of investment firms for prudential supervision by the PRA
The Bank of England has published for consultation the draft policy about the designation of investment firms for supervision by the Prudential …
FSA prioritises effective corporate governance in insurers
Effective corporate governance within insurers, including in particular those operating with-profits businesses, has been a high priority for the FSA for …
Thematic work by Hong Kong's SFC identifies deficiencies in selling practices
The Securities and Futures Commission of Hong Kong (the SFC) has published a report summarises the findings of a thematic inspection of the selling …
Australian Securities Exchange (ASX) consults on update to continuous disclosure guidance
ASX has responded to the call of listed entities and advisers for greater clarity and guidance on continuous disclosure obligations by addressing …
Draft Banking Reform Bill published
The draft Financial Services (Banking Reform) Bill has now been published. This draft Bill is the first legislative step towards implementing the …
FSA's Authorisations move to internal "twin peaks"
In April 2012, the FSA moved to an ‘internal twin peaks’ model in relation to its supervisory functions, which involved splitting its integrated approach …
Corporate crime update - October 2012
We are delighted to announce that we have expanded our corporate crime updates to cover a number of additional jurisdictions. Accordingly our corporate …
EU strengthens sanctions against Iran with particular impact for oil and gas sector and financial institutions
On 15 October 2012, the Council of the European Union announced that it had decided to strengthen significantly the EU's restrictive measures in respect …
Pre-IPO Financing and Cornerstone investors: Asian influences in European Equity Offerings
The role of private equity and other financial buyers in the development of pre-IPO investment in the UK has been significant. In the attached …
New PRA and FCA regimes for Approved Persons
The FSA has published a consultation paper on the PRA and FCA regimes for approved persons (CP 12/26). CP 12/26 sets out proposed amendments to the …
Enforcement fines to be used to support Britain’s Armed Forces (and the Exchequer)
HM Treasury announced yesterday that the Government plans to use £35 million of revenue from fines imposed by UK financial regulators on firms in the …
FSA warning about disclosure of information and trading in advance of RIS announcements of ex-dividend dates
In Market Watch 43, published today, the FSA has expressed concerns about investor relations units providing inside information about …
Showing 1,692 out of 1,844 results
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