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  • HMRC: The Capital Gains Tax (Amendment) Regulations 2013 (Draft)

    08/03/2013
    These draft regulations remove references to being 'ordinarily resident' from Regulation 15 of the Capital Gains Tax regulations 1967 and remove... the requirement that a person must be resident or ordinarily resident or carry on a trade in the UK in order to be joined as a third party to an appeal or make an application to be joined. HMRC asks for any final comments by 12 March 2013 as the instrument will be laid in time to come into force from 6 April 2013.
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  • Law Societies Joint Brussels Office: Company law and financial services (February 2013)

    08/03/2013
    This details the current status of various relevant Directives and European-level proposals
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  • SEC: Regulation SCI

    08/03/2013
    SEC is proposing new rules to require certain key market participants to have comprehensive policies and procedures in place surrounding their... technological systems. Self-regulatory organisations, certain alternative trading systems, plan processors, and certain exempt clearing agencies would be required to design, develop, test, maintain, and survey systems that are integral to their operations. The proposed rules would require them to ensure their core technology meets certain standards, conduct business continuity testing, and provide certain notifications in the event of systems disruptions and other events.
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  • The Financial Services Act 2012 (Mutual Societies) Order 2013/496

    08/03/2013
    This Order provides for functions of FSA relating to mutual societies to be exercisable by FCA and PRA. (Date in force:... 1/04/13)
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  • BIS: Information flows in dark markets: dissecting customer currency trades

    07/03/2013
    This BIS working paper considers order-flows of different customer segments in the foreign exchange market. Among the conclusions: “asset managers,... for instance, tend to be trend-followers, whereas individual investors behave as contrarians. Hedge funds (on aggregate) do not seem to fall in any of these two categories”.
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  • EBA: Good practices for the risk management of ETFs

    07/03/2013
    EBA has published an opinion on the above, addressed to national supervisory authorities which aims to ensure that potential risks associated... with ETFs are managed adequately from the perspective of the credit institution – and indirectly from the perspective of its customers. The document includes a list of relevant questions to assist authorities in gaining an accurate picture of banks’ involvement in the ETF business, and the adequacy of banks’ management of associated risks such as liquidity and market risks.
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  • EBA: Policy workshop call for evidence

    07/03/2013
    EBA has issued this call for papers in respect of a workshop being held in London on 14-15 November 2013 on... the topic: “How to regulate and resolve systemically important banks”.
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  • FOS: The history and development of the Ombudsman’s approach to non-disclosure

    07/03/2013
    FOS has published an extract from Consumer Law Insurance (Bloomsbury 2013) by Melissa Collett of FOS. She explains how the... Consumer Insurance (Disclosure and Representations) Act 2012 reflects FOS’s long-standing approach to non-disclosure 
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  • FSA: Equities trader sentenced for insider dealing

    07/03/2013
    FSA reports that Paul Milsom, a senior equities trader, has today been sentenced at Southwark Crown Court to two years’ imprisonment... for disclosing inside information between October 2008 and March 2010. A confiscation order was also made in the sum of £245,000. During the relevant period he was an FSA approved person employed by Legal and General Investment Management (Holdings) Ltd and disclosed inside information relating to forthcoming transactions in securities (it is noted that FSA makes no criticism of the firm). The judge indicated that he had given Paul Milsom full credit for pleading guilty at the earliest opportunity and extra credit for entering into a plea agreement with FSA.
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  • Parliamentary Commission on Banking Standards: Banking standards

    07/03/2013
    PCBS has published corrected transcripts of evidence given on 11 February by former and current RBS execs.
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