Posts tagged with: "financial+services"
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24 Mar 2013, 6:04 am
Editor’s Note: The following post comes to us from Jeffery Roberts, senior partner in the London office of Gibson, Dunn and Crutcher, and is based on a Gibson Dunn memorandum by Mr. Roberts and Edward A. Tran.
The Financial Services Act 2012 (the "Act"), which comes into force on 1 April 2013, contains the UK government's reforms of the UK financial services regulatory structure and will create a new regulatory framework for the supervision and management of the UK's banking and financial… [read post]
10 Dec 2010, 5:35 am
U.K. regulator's pricey parties | The Facebook Empire | Schwarzman's fave book on video [read post]
30 Jul 2012, 5:02 am
The British government on Monday officially announced a review into the rate-setting process at the center of the recent financial scandal. [read post]
26 Nov 2010, 4:45 am
The number of criminal prosecution of insider trading cases in Britain is a fraction of those in the United States. [read post]
11 Nov 2010, 2:44 pm
Employers in Britain will soon be mandated to record conversations by their traders and bankers if they take place on work-provided cellphones. [read post]
15 Feb 2012, 12:37 pm
Margaret Cole, the current managing director of enforcement and financial crime at Britain's Financial Services Authority, will leave the organization at the end of March, [read post]
30 Jul 2012, 5:02 am
The British government on Monday officially announced a review into the rate-setting process at the center of the recent financial scandal. [read post]
26 Nov 2010, 2:25 am
Britain's securities watchdog, the Financial Services Authority, said Thursday that it was charging five people on 17 counts of insider trading. [read post]
13 Jan 2011, 7:19 am
British regulators fine a former analyst £50,000 for giving the impression that he was disclosing insider information. [read post]
11 Sep 2012, 4:17 am
The Financial Services Authority of Britain has fined BlackRock for failing to follow rules governing the protection of its clients' money. [read post]
24 Sep 2010, 7:12 am
The F.S.A. has again declared war on a very important matter (to us, anyway): the leaking of deal information before the transaction is announced. [read post]
25 Apr 2012, 1:58 pm
A plan, introduced by the House Financial Services Committee, would shift oversight from federal authorities to groups backed by the financial industry, most likely the Financial Industry Regulatory Authority. [read post]
3 Jul 2012, 6:00 pm
Ahead of a British parliamentary hearing, executives said they thought they had implicit approval from regulators to manipulate interest rates. [read post]
18 Jan 2011, 5:04 am
The Financial Services Authority says Barclays may have to pay customers an additional £42 million in compensation related to the marketing and sale of two funds. [read post]
19 Feb 2013, 4:03 am
Andrew Bailey, who had been interim chief executive of the Prudential Regulatory Authority, was appointed as the agency's full-time head on Tuesday. [read post]
18 Feb 2010, 4:47 am
From Economix: The head of Britain's Financial Services Authority is sharpening his argument that recent financial deregulation is misguided and that further controls are needed, economist Simon Johnson argues. [read post]
7 Jan 2011, 10:43 am
Britain's bank regulator wants the authority to block hostile takeovers. But given the rarity of such events in banking, is the power really needed? [read post]
5 Dec 2011, 4:35 am
The Financial Services Authority on Monday fined HSBC £10.5 million for selling inappropriate financial products to elderly customers, the largest British penalty related to a retail product. [read post]
7 Aug 2012, 4:36 am
Standard Chartered, which has thrived so far during Europe's debt crisis, faces costly fines in an investigation of its financial dealings with Iran. [read post]
16 Aug 2011, 9:22 am
While regulators say they are trying to prevent more bank failures, community bankers complain that the exams amount to nitpicking. [read post]