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Showing 16521 - 16530 of 16899 matches

  • FSA: PS12/13: Financial resources requirements for Recognised Bodies

    27/07/2012
    This PS summarises the responses received and policy conclusions reached in relation to CP11/19, together with final guidance. FSA notes... that it has modified proposals to take account of developments that have taken place with regard to EMIR, MiFID and IOSCO’s Principles for Financial Market Infrastructures.
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  • FSA: Insider dealing

    27/07/2012
    Further to the report earlier this week, the six defendants have now been sentenced. Three of them were sentenced to... 3 years 6 months, two were sentenced to two years and one to 18 months. Confiscation and costs orders will be dealt with at a later date
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  • FSA: Handbook Notice 122/Instruments

    27/07/2012
    On 26 July 2012, the FSA Board made changes to the Handbook in instruments which amend how UKLA helpdesk provides market... participants with individual guidance (Listing Rules (Contact with the FSA) Instrument 2012/43 )
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  • FSA: Handbook Notice 122/Instruments

    27/07/2012
    On 26 July 2012, the FSA Board made changes to the Handbook in instruments which introduce new eligibility and suitability rules... for firms arranging insurance contracts as part of a packaged bank account (Packaged Bank Accounts Instrument 2012/37)
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  • FSA: Handbook Notice 122/Instruments

    27/07/2012
    On 26 July 2012, the FSA Board made changes to the Handbook in instruments which provide guidance to brokers on when... they can pass inside information to buyers, regarding the sale of stock by persons discharging managerial responsibilities (Market Conduct Sourcebook (Amendment No 11) Instrument 2012/38)
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  • FSA: Handbook Notice 122/Instruments

    27/07/2012
    On 26 July 2012, the FSA Board made changes to the Handbook in instruments which set out guidance on arrangements that... RIEs and RCHs should make to meet their financial resources requirements (Recognised Investment Exchanges and Recognised Clearing House Sourcebook (Financial Resources Requirements) Instrument 2012//40)
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  • FSA: Handbook Notice 122/Instruments

    27/07/2012
    On 26 July 2012, the FSA Board made changes to the Handbook in instruments which re-define the term “substantial shareholder”’ which... describes the conditions in which voting rights being held by a person in specific circumstances will be disregarded for the purposes of calculating voting rights (Listing Rules (Related Party Transactions) Instrument 2012/41)
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  • FSA: Handbook Notice 122/Instruments

    27/07/2012
    On 26 July 2012, the FSA Board made changes to the Handbook in instruments which achieve consistency in the regulatory regimes... applying to credit unions in Great Britain and Northern Ireland (Credit Union New Sourcebook (Consequential Amendments No 2) Instrument 2012/39)
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  • FSA: Handbook Notice 122/Instruments

    27/07/2012
    On 26 July 2012, the FSA Board made changes to the Handbook in instruments which set out regulatory requirements applicable to... a firm carrying on the new activity of “bidding in emissions auctions (Emissions Allowance Auction Bidders Instrument 2012/35)
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  • FSA: Handbook Notice 122/Instruments

    27/07/2012
    On 26 July 2012, the FSA Board made changes to the Handbook in instruments which defer the in force date of... rules and guidance requiring platform service providers and nominee companies to provide fund information and voting rights (Retail Distribution Review (Platforms) (Amendment) Instrument 2012/43)
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