Greek Shorts
A press release reveals that Greece has banned the short selling of shares listed on the Athens Exchange. [...]
A press release reveals that Greece has banned the short selling of shares listed on the Athens Exchange. [...]
FINMAR will be the abbreviation given to a new Handbook module: the Financial Stability and Market Confidence Sourcebook. It is referenced in the latest consultation paper from the FSA – […] [...]
The Bribery Act 2010 creates new statutory offences, replacing common law. The most significant change is the introduction of a corporate offence, ‘failure to prevent bribery’ by persons associated with […] [...]
Further to the Winterflood and Commerzbank fines, this marks the end of a very busy April for the FSA. The month saw a total of 16 fines added to the […] [...]
Winterflood, the largest market maker on the AIM market, lost its appeal against the decision of the Financial Services and Markets Tribunal in March 2009, which found they had committed […] [...]
Following on the heels of the £4.2m fine imposed on three big name firms for transaction reporting failures (see Regulatory Roundup No 12) the FSA released details of a further […] [...]
The last Regulatory Roundup provided an update on the progress of the Financial Services Bill 2010 which amends FSMA 2000. Possibly as a result of the ‘wash-up’ process following the […] [...]
In an evidence collecting exercise, the Committee of European Securities Regulators has issued a ”Call for Evidence” in order to assess the impact of certain developments in European equity markets. […] [...]
The FSA has released a 122 page bumper edition of the latest Quarterly Consultation (CP10/10). Proposed changes in SUP include a rewording to SUP 10 Annex1 (FAQs) so removing the […] [...]
The FSA hit with a vengeance when it fined three big name firms a total of £4.2m for transaction reporting failures. It will be recalled that Barclays suffered a penalty […] [...]
As you will know, the obligation to record telephone conversations and electronic communications (as set out in COBS 11.8) does not currently extend to “telephone conversations and electronic communications (except […] [...]
There have been further developments in respect of the proposed Private Fund Investment Advisers Registration Act 2010 (see Regulatory Roundup 18 January and previous). Senator Christopher Dodd’s financial reform proposals […] [...]
The FSA has released Consultation paper CP10/9 – “Enhancing the Client Assets Sourcebook”. Proposals include greater transparency requirements by UK authorised prime brokers (‘PBs’) in respect of re-hypothecation provisions by […] [...]
If your firm has set the Investment Management Certificate as an exam determinant in connection with SYSC5.1 (“A firm must employ personnel with the skills …” etc.) then a reminder […] [...]
The Financial Services Bill had its second reading in the House of Lords on 15 March 2010. The Bill’s many sections detail a new financial stability objective for the FSA, […] [...]
Market Watch No 34 has been published by the FSA. An interesting article tucked away on page 2 advises that transaction reporting firms need a BIC code. Some firms will […] [...]
Dan Waters gave a speech the other day at the Institute of Economic Affairs on “The Future of the Fund Management Industry”. Nothing new of note was said but he […] [...]
It will not have escaped your attention that FSA and SOCA have carried out a joint operation involving address searches and arrests in a clampdown on insider dealing; firms such […] [...]
The Regulatory Gateway for Financial Promotions is Here
Navigating KYC Challenges in 2024: Insights from the Q&A Session
Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024
Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024
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