Financial Advice

IOSCO Recommendations to Promote Market Integrity and Efficiency to Mitigate Risks by Technological Developments

The International Organisation for Securities Commissions analyses the most significant technological developments and related micro-structural issues that have arisen in financial markets in recent years, notably high frequency and algorithmic trading, and their impact on market structure, particip
Originally Published: 
Thursday, October 20, 2011

Financial Services Authority Consults on Proposed Regulatory Prudent Valuation Return

The Financial Services Authority has released a consultation paper to receive feedback on the proposed format of the "regulatory prudent valuation return", including showing the net and gross balance sheets for a defined list of asset classes, together with the potential downside and upsid
Originally Published: 
Wednesday, December 14, 2011

Financial Services Authority Consults on Simplifying the EU Prospectus and Transparency Directives

The Financial Services Authority and the UK Treasury have jointly published a consultation paper which follows the adoption of an Amending Directive on 24 November 2010, which revised both the Prospectus Directive and the Transparency Directive.
Originally Published: 
Tuesday, December 13, 2011

Financial Services Authority Speech at Non-Executive Directors’ Conference on Delivering Fair Treatment for Consumers of Financial Services

The Financial Services Authority has published a speech presented by Clive Adamson (Director of Supervision, the FSA Conduct of Business Unit) at the Non-Executive Directors’ Conference on 6 December 2011 where he discusses how the FSA is developing the supervisory approach or philosophy for the pro
Originally Published: 
Tuesday, December 6, 2011

Financial Services Authority Speech at Non-Executive Directors’ Conference on Delivering Fair Treatment for Consumers of Financial Services

The Financial Services Authority has published a speech by Nausicaa Delfas (Head of Department, Conduct Supervision, FSA) at the Non-Executive Directors’ Conference which focuses on the FSA’s current and developing approach to the responsibilities of non-executive directors
Originally Published: 
Tuesday, December 6, 2011

Financial Services Authority Guidance Consultation on Delivering Fair Treatment for Consumers of Financial Services

The Financial Services Authority has published a guidance consultation which sets out the FSA’s expectations of non-executive directors in delivering the appropriate management of retail conduct risk within firms.
Originally Published: 
Tuesday, December 6, 2011

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