Financial Services Authority

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More than 10.000 documents for Financial Services Authority

- Financial Services Authority Review Of Compliance With Anti-Bribery And Corruption Regulations Within Investment Banks
I. BACKGROUND The Bribery Act 2010 (UK) (the "Bribery Act") came into force on 01 July 2011. The Financial Services Authority (the "FSA") has shown...
- Mondaq Business Briefing
- United States Law Articles in English
- Financial Services Authority.
HM Treasury European Union London Stock Exchange Liffe Crest Our recent publications FINANCIAL SERVICES AUTHORITY Stakeholder pension de...
- Mondaq Business Briefing
- Nbr. 2002, June 2002
- Determination of Appropriateness of Standards of the United Kingdom's Financial Services Authority for Oversight and Supervision of ICE Clear Europe Limited
- FR, July 31, 2008
- Notices
- Commodity Futures Trading Commission

- The Seventh Annual A.A. Sommer, Jr. Lecture On Corporate, Securities and Financial Law[Dagger] 'the U.K. Fsa: Nobody Does It Better?'
The seventh annual A. A. Sommer, Jr. lecture on corporate, securities and financial law is presented. In her lecture titled "The UK FSA: Nobody Does It Better?," UK Financial Services Authority (FSA) Director of Enforcement Margaret Cole said it is important to emphasize that the FSA does not, and is not seeking to, authorize and regulate the funds themselves, which are outside their jurisdiction. Rather, they continue to believe that they can mitigate the risks through their existing authority over hedge fund managers and broker-dealers who provide prime brokerage services to the funds. The FSA's initiative aimed at treating customers fairly is a prime example of the FSA's strategic shift to more principles-based regulation. To conclude, Cole proposes, that nobody does it better than t...
- Fordham Journal of Corporate & Financial Law
- Vol. 12 Nbr. 2, March 2007
- On 18 September 2008 The UK Financial Services Authority (The 'FSA') Announced:.
On 18 September 2008, the UK Financial Services Authority (the "FSA") announced: an immediate ban on the active creation or increase of net short po...
- Mondaq Business Briefing
- Nbr. 2008, March 2008
- Regulation: It's the Principle of the Thing
The global financial industry's regulatory framework has changed in recent years, moving from rules-based to principles-based compliance regulation. In the US, companies have relied for years on guidelines and rulebooks from the Security Exchange Commission (SEC) in order to ensure they are meeting their compliance obligations. Six years ago, the UK also had rules-based regulation -- until the Financial Services Authority (FSA), the UK's equivalent regulatory watchdog to the SEC, began to overhaul its regulatory processes. The FSA has become a principles-based regulator. It provides a list of high-level obligations, or principles, that firms must fulfill in order to stay compliant. The SEC will help drive the US adoption of principles-based regulation, although it will likely be a slow ...
- Risk Management; New York
- Vol. 54 Nbr. 7, July 2007
- UK Financial Services Authority to be Abolished.
As has been widely reported, on 16 June 2010, the UK Chancellor of the Exchequer outlined his vision for the future regulatory architecture of the UK ...
- Mondaq Business Briefing
- Nbr. 2010, January 2010
- Uk's Fsa: Eu Bonus Curbs May Need Reforming
LONDON (Reuters) - Europe's tough bonus curbs make it harder for banks to keep staff and how they are applied may need tweaking, Britain's Financial Services Authority said on Monday [June 13]. The European Union introduced mandatory pay curbs from January which are more stringent than the looser "guidance" implemented in the rest of the world.
- Reuters Hedgeworld
- June 14, 2011
- On 18 September 2008 The UK Financial Services Authority (The FSA) Announced:
On 18 September 2008, the UK Financial Services Authority (the "FSA") announced: an immediate ban on the active creation or increase of net short...
- Mondaq Business Briefing
- United States Law Articles in English
- Mountain View gets financial services housing: Credit Union 1 Cook Inlet Housing Authority build up anchorage neighborhood.
[ILLUSTRATION OMITTED] Been to Mountain View lately? Big changes are afoot in one of t Anchorage's pioneer neighborhoods, bringing with them savings...
- Alaska Business Monthly
- Vol. 26 Nbr. 11, November 2010