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A litigator's yearbook: 2012 in England and Wales
At this time of year it is traditional to look back over the past 12 months and try to sum up what the year has had to offer. We thought it might be …
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 …
TI publishes Corruption Perceptions Index 2012
Transparency International (TI) has published the Corruption Perceptions Index 2012 (CPI). The CPI, originally launched in 1995, ranks countries …
Highlights from Part 1 of the FSA's Consultation Paper on implementation of the AIFMD
The Alternative Investment Fund Managers Directive (the "AIFMD") is due to be implemented by Member States at a national level by 22 July 2013 and will …
Corporate crime update - December 2012
Please click here for the November 2012 edition of our global corporate crime update. Jurisdictions covered in this month’s update include: United …
UK regulatory reform: should the new regulators be given power to investigate possible offences under s.352 of FSMA?
Lord Turner recently informed the Chairman of the Treasury Committee that the FSA was unable to use its powers to extend an internal FSA leak inquiry to …
UK FSA consults on new capital regime for Self-Invested Personal Pension (SIPP) operators
In light of the failure and near failure of a number of SIPP operators since 2007, the FSA has concluded that its current prudential requirements …
HMT reissues direction to cease business with Iranian banks
Daniel Hudson, Nichola Peters and Jeremy Sher comment on HM Treasury's ("HMT") decision to reissue its direction to UK financial institutions …
Suitability and systems: UK FSA fines wealth management firm as further thematic review work continues
Following on from its initial thematic work on wealth management firms, the FSA has fined Savoy Investment Management Limited (Savoy) £412,000 for …
Verifying changes to customer data, particularly when supplied by third parties
For firms that use data matching processes, a recent data protection case suggests that firms may wish to consider the robustness of …
Dear CEO: please confirm your asset management firm has identified and mitigated the risk of conflicts of interest between it and its customers
Conflicts of interest between asset managers and their customers: Identifying and mitigating the risks is a 'Dear CEO' publication in which the FSA …
New EU Short selling regime now in force
The new EU short selling regime came into force on 1 November 2012. The regime, which is established by the EU Short Selling Regulation (No …
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