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Home » Archives for April 2010
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No more shorting in Greece
A new financial stability objective for the FSA
Creates new statutory offences, replacing common law
FSA fines to date in 2010 are up to £14.3m
FSA fines Wins £4m
Firms are still having issues with transaction reporting
CESR has requested a 'Call for Evidence' to assess European equity markets
The FSA has released a 122 page bumper edition (CP10/10)
The FSA hit with a vengeance when it fined three big name firms a total of £4.2m for transaction reporting failures
CPon removing the exemption
Private Fund Investment Advisers Registration Act 2010
FSA release CP 10/9
MarketWatch34 published by the FSA
Dan Waters gave a speech
FSA busts insider dealing ring, then charges 7 more
FCA introduces new rules and guidance on how advice should be provided to consumers on pension transfers
Of relevance to: All firms advising on pension transfers, those acting as pension transfer specialists, pension providers, and...
FCA Financial Crime Guide to have new chapter on insider dealing and market manipulation
Of relevance to: All firms subject to the financial crime rules in SYSC 6.1.1R, and who arrange...
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