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Market abuse update - Feb 2012
Since our last update, there have been some significant milestones in the FSA's fight against market abuse. The European Commission has also …
The courts' analysis of firms' responsibilities under COB and COBS client classification requirements
In the years preceding the financial crisis, more and more private clients began to invest in increasingly complex and riskier financial products in the …
FSA limits requirement for one month's notice of capital issues
New rules requiring insurers, banks and other BIPRU firms to tell the FSA about proposed issues of shares or other capital instruments demonstrate the …
New UK Investment Trust Company Tax Regime - Final Regulations
The Investment Trust (Approved Company) (Tax) Regulations 2011 (the Regulations) have been published. Once the Regulations have been approved by …
Shah v HSBC: Court of Appeal rules that identity of employees making money laundering reports can be redacted when disclosing documents in litigation
This ruling is the latest development in the ongoing Shah v HSBC saga, proceedings brought by Mr Shah and his wife, two Zimbabwean-based customers of …
MiFID II: European Commission publishes legislative proposals to amend MiFID
The European Commission finally published its legislative proposals to revise the Markets in Financial Instruments Directive (MiFID) on 20 October, …
Harmonising the regulation of market abuse in Europe
The European Commission has published its proposals for a Regulation on insider dealing and market manipulation ("the Regulation") and a Directive on …
Timeline - a guide to the legal milestones ahead
This is a guide to key legal developments in the coming months and years ahead. Click here for the full Timeline. This publication contains information …
Libyan sanctions regime
Following the recent developments in Libya, the UN, EU and UK have adopted further measures relating to the asset freeze imposed in March 2011 (details …
Draft Regulation released proposing Europe-wide freezing orders
In our June 2011 Corporate Fraud, Investigations and Asset Recovery Update, we discussed the upcoming Europe-wide freezing order regulation. On 25 July …
Joint Parliamentary Committee calls for evidence on draft Financial Services Bill
The Joint Committee appointed by both Houses of Parliament to conduct pre-legislative scrutiny of the draft Financial Services Bill has issued a call for …
The Treasury Select Committee ("the Committee") published a report on its inquiry into the Retail Distribution Review ("RDR") on Saturday, and recommends that in order to allow advisers to satisfy the requirements of the RDR, the FSA should defer its implementation for 12 months.
It is imperative for HR professionals, in-house counsel, compliance officers and others with responsibility for remuneration-related issues within firms …
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