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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 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 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 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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  • FSA: Handbook Notice 122/Instruments

    27/07/2012
    On 26 July 2012, the FSA Board made changes to the Handbook in instruments which change the mortality basis that firms... must use for future annuity projections in personal pensions illustrations (Conduct of Business Sourcebook (Mortality Assumptions for Future Annuity Projections) Instrument 2012 /36)
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  • FSA: CP12/17**: Packaged bank accounts: new ICOBS rules for the sale of non-investment insurance contracts/feedback to CP11/20 including final rules and further consultation

    27/07/2012
    FSA has published new rules which will require banks and building societies to check whether customers are eligible to claim on... insurance cover before selling them a packaged bank account. From 31 March 2013, banks and building societies must: check whether the customer is eligible to claim under each policy and share that information with them; If the sales adviser is recommending policies in the package they must establish whether each policy is suitable for the customer and alert them if some are not, and provide customers with an annual eligibility statement setting out the requirements to claim each of the benefits under each insurance policy in the package which should prompt customers to check whether their circumstances have changed and whether the policies continue to meet their needs. FSA is also consulting on further issues including a proposal that annual eligibility statements should be sent to customers as a separate mailing to give them added prominence, and that banks and building societies should proactively tell customers who have triggered the age limit for claiming on the travel insurance element, or warn them if they will do so before the next statement is due. FSA notes that it intends to monitor is the promotion of packaged accounts where monthly costs are advertised alongside yearly benefit Responses to the consultation are required by 29 October 2012. Subject to the outcome of this consultation, FSA expects to issue a PS with final rules in December 2012.
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  • FSA: Board minutes

    27/07/2012
    FSA has published the summary board minutes for its meeting held on 26 April 2012. Topics include: future FCA/RDC decision... making; CEO and MDs’ reports on a variety of major topics (including “the results of the Pottage case and implications for the FSA pursuing other cases of individual misconduct, which were still seen as valid and appropriate subject to the quality of evidence available”); supervising UK life insurance groups; FSA international priorities: client asset distribution review and the Arch Cru consumer redress scheme (including concerns over PII).
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  • ESMA: Shadow banking

    27/07/2012
    ESMA has published its response to the EC’s Green Paper on shadow banking.
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