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In Board Notice 500, SFA have reminded firms of their existing
obligations when undertaking programme trading, which is a series
of transactions effected...
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...
In November 1998, the FSA issued Consultation Paper 16 on its
approach to its responsibilities under the Financial Services and
Markets Bill relating...
FSA announces its approach to enforcing the new regime
In perhaps the most important of the Consultative
Papers yet issued by the FSA, in CP17 the FSA...
FSA policy statement on the year 2000
In October, the FSA issued a policy statement on
its regulatory responsibilities and the Year 2000 problems. Many
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