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French AMF calls on investors to take basic precautions in relation to non-financial investments: consumer responsibility?
The French AMF has issued a public warning to investors who may, in the light of current low interest rates, be tempted to invest in …
EBA Guidelines on assessment of the suitability of members of management bodies of credit institutions and their key function holders
The European Banking Authority (EBA) has today published Guidelines on the assessment of the suitability of members of the management body and key …
Thematic work by Hong Kong's SFC identifies deficiencies in selling practices
The Securities and Futures Commission of Hong Kong (the SFC) has published a report summarises the findings of a thematic inspection of the selling …
Draft Banking Reform Bill published
The draft Financial Services (Banking Reform) Bill has now been published. This draft Bill is the first legislative step towards implementing the …
Herbert Smith financial incentives schemes checklist: Key points from FSA review and ESMA consultation on remuneration policies and practices
Both the FSA and ESMA have recently launched consultations on proposed guidance relating to firms' financial incentive schemes. The …
HM Treasury and US Tax Authority release model agreement to implement FATCA in the UK and extend information sharing powers between the US and the UK
HM Treasury (in conjunction with the governments of France, Germany, Italy and Spain – together the 'FATCA Partners') have published the terms of a model …
Time barring PPI complaints
In its Policy Statement 10/12 on "The assessment and redress of Payment Protection Insurance complaints" published in August 2010, the FSA was quite firm …
FSA publishes its assessment of the most significant retail conduct risks for 2012
The FSA's Retail Conduct Risk Outlook (RCRO), published today, sets out the highest priority retail conduct risks, grouped into 15 categories. …
Showing 92 out of 92 results