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In Consultation Paper 8, the FSA has given an early insight into
the layout and likely content of its new rulebook. The FSA accepts
that drafting the...
On 6th May 1998, Alastair Darling, Chief Secretary to the Treasury,
announced new powers to enable the FSA to tackle market abuse and
In November 1997, IMRO issued Consultation Document 35 entitled
"Stock Lending". This considered the issue of pooling risks, that
is the risk that customers...
On 1st May, SFA (in Board Notice 473) and FSA (in a press release)
announced further developments in relation to the long-running saga
of the rules relating...
On 1st June 1998, the Bank of England Act 1998 came into force, and
this transferred the Bank's responsibilities for supervising
Board Notice 387 (January 1997) distributed the SIB's advice on
inside information and equity-related derivatives. SFA has now
issued guidance on the...
In Board Notices 466 and 467, the SFA has set out a number of
proposed changes in the light of a general review of its Rulebook.
These apply to the procedures...
SFA Board Notice 459 sets out proposed rule changes in relation to
stock lending transactions involving customer's assets.
These proposed rule changes...
In Regulatory Update 50, PIA has issued extensive guidance on
recruitment procedures and documentation processes which should be
required reading for...
In announcing its intentions for its final full year as a
regulator, the PIA has said that it will concentrate on 3 issues.
Work on the pensions...
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