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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 releases near final rules on SM&CR for FCA regulated firms.
On 4 July 2018, the Financial Conduct Authority (“FCA”) released ‘The Senior Managers and Certification Regime: Guide for...
FCA Asset Management Conference – Insights
On 12 June, London’s Queen Elizabeth II Centre was home to the FCA Asset Management Conference 2018. The...
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