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CAR policies that follow the London Market model
commonly contain exclusions
in respect of damage resulting from deficiencies...
In Board Notice 500, SFA have reminded firms of their existing
obligations when undertaking programme trading, which is a series
of transactions effected...
The SFA has agreed to commission an independent study into whether
Tradepoint offers better execution than the Stock Exchange, and
what effect this would...
Following the implementation of the new Investor Compensation
Directive, SFA has recently finished a consultation with members
over how the ICS should...
With the deadline for the completion of Phase 1 cases having
passed, the pensions industry is waiting to see who will be the
first victim of the PIA...
In Board Notice 490 SFA has issued guidance to firms who are forced
to deal, through agents, with undisclosed principals. This guidance
The Investor Compensation Directive
In Regulatory Update 59, PIA has explained the
effect of the Investor Compensation Directive on its rules:
For the first time, the draft Bill proposes giving the FSA a
statutory duty to promote public understanding of the financial
system. In their first detailed...
FSA has issued a Discussion Paper to start the debate on the
future, unified, structure of the regulation of inter-professional
business. This is currently...
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