FSA Briefing
The FSA held a Wholesale Small Firms’ briefing aimed at Investment Managers and Private Equity firms on 21 September. The briefing included a session on the Remuneration Code with the […] [...]
The FSA held a Wholesale Small Firms’ briefing aimed at Investment Managers and Private Equity firms on 21 September. The briefing included a session on the Remuneration Code with the […] [...]
Dan Waters, the FSA’s Asset Management Sector Leader, gave an interesting speech at the AIMA Annual Conference which might provide some comfort for those in the asset management sector that […] [...]
The European Commission has issued a proposal on the regulation of OTC derivatives, central counterparties and trade repositories. The proposal will apply to all OTC derivatives, whether based on commodities, […] [...]
An article on short selling in Regulatory Roundup 10 advised that a CESR report recommended the introduction of a pan-European short selling disclosure regime. The European Commission has now published […] [...]
Whilst on the topic of shorting, as mentioned in Regulatory Roundup 17, short position disclosure requirements moved from MAR 1.9 to FINMAR 2.2 with effect from 6 August. Firms will […] [...]
As mentioned in Regulatory Roundup 19, the Large Exposure regime in BIPRU 10.5 will change from 31 December 2010. The amended Rules can be seen in the recently published FSA […] [...]
Following queries from firms, some clarification to reporting requirements has been made by the FSA. For FSA001 Balance sheet, changes relating to elements 7, 10 and 30A have been made. […] [...]
As was mentioned in Regulatory Roundup 16, the FSA was proposing to consult on enhancements to auditor’s reporting on client assets. As you will know, even where a firm does […] [...]
In Regulatory Roundup 16 we highlighted the case of Anjam Ahmad, a hedge fund trader with AKO Capital, who profited (that is until the FSA got to hear about it) […] [...]
Related Final Notices in respect of Gerald Casey of First Colonial Investments LLP (“FCI”) and Direct Sharedeal Ltd (“DSL”) have been published. At one level it is yet another case […] [...]
Market Watch No 37 is devoted entirely to leaks of inside information – specifically to the media – and the need for firms to ensure sound prevention controls are in […] [...]
The FSA have signed a Memorandum of Understanding with FINRA, the largest independent regulator for all securities firms doing business in the US. The MOU is now effective and provides […] [...]
As covered in Regulatory Roundup 17 the offences under the Bribery Act 2010 will become enforceable from April 2011. Firms will be aware that there will be a defence for […] [...]
For the avoidance of doubt, this will only be of relevance to BIPRU firms. Regulatory Roundup 6 advised that the FSA had published CP09/30 – “Capital Planning Buffers” – concerning […] [...]
Thank you to those firms that sent their views on the Remuneration Code proposals to us (Regulatory Roundup 20 refers). It is clear that the two major themes are (a) […] [...]
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