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Treasury Select Committee and FSA disagree over timing of RDR implementation
The Treasury Select Committee ("the Committee") published a report on its inquiry into the Retail Distribution Review ("RDR") on Saturday, and recommends …
Focus on suitability compliance: a message not only for wealth managers
Focus on suitability compliance: a message not only for wealth managers The FSA's "Dear CEO" letter to chief executive officers of firms in the wealth …
What approach will the FCA take to regulation?
Today the FSA held a conference to launch debate on the development of the operating model of the new Financial Conduct Authority (FCA). The accompanying …
General counsel update: 22 June 2011
This is the twenty-fifth in our series of general counsel updates which aim to summarise major developments in key areas. This summary covers the …
Draft Bill and White Paper published detailing sweeping reforms to UK regulatory architecture
Today, the Government published a White Paper and draft Bill setting out its detailed blueprint for reform of financial regulation in the UK. The …
Prudential Regulation Authority - FSA and BoE publish further details
Today, the Bank of England and FSA published a paper giving some further detail on the approach the Prudential Regulation Authority (PRA) will take to …
Syrian sanctions regime
Following the recent unrest in Syria, the EU has this week imposed new sanctions on the Syrian regime, including an arms embargo, the freezing of funds …
A changing landscape: regulatory developments in the distribution of retail investment products - UK, France, Spain, Germany, Italy, Netherlands, Switzerland, Russia, UAE and Hong Kong
Over the last 18 months, we have seen significant momentum in regulatory developments regarding the distribution of retail investment products, driven by …
Market abuse update
Since our last update, the FSA has secured its first conviction for laundering of the proceeds of insider dealing, and the longest sentence for insider …
FSA publishes proposed Remuneration Code guidance
On 21 April 2011, the FSA published a number of draft guidance documents to assist firms in complying with the revised FSA Remuneration Code (the …
Corporate crime update
Corporate crime update... Bribery and corruption Adequate procedures under the Bribery Act On 31 March Herbert Smith published a …
Client Money and Assets: emerging issues
FSA fines for client money and asset failings continue to make the headlines. In the attached briefing, we look at the enforcement decision in relation …
Showing 1,812 out of 1,844 results
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