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Showing 36 out of 131 results
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 …
Australian High Court ruling reviews how statements to the market should be assessed
On 2 October 2012, the High Court of Australia handed down its much anticipated judgment in Fortescue Metals Group v Australian Securities …
Our new firm: Herbert Smith Freehills
Today has seen the launch of our newly merged firm, which combines the market leading practices of legacy firms Herbert Smith and Freehills. The new firm …
Remuneration: FSA Guidance replaces tiering with new proportionality regime
The FSA has recently published finalised guidance on proportionality and remuneration in respect of its Remuneration Code. The changes, which came …
FSA plea for wider enforcement powers warrants careful scrutiny
In the FSA's request for further enforcement powers, made in submissions to the Parliamentary Commission on Banking Standards (published on Monday), …
FSA consults on overhauled client money rules for insurance intermediaries
The FSA has issued a consultation paper on significant changes to the Client Money Rules in CASS 5 which apply to insurance intermediaries. The proposed …
Showing 36 out of 131 results
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