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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 …
The meaning of "information" for the purposes of the Australian insider trading offence
Elizabeth Macknay and Matthew J. Keogh review the High Court of Australia's recent decision, Mansfield v the Queen [2012] HCA 49 regarding the meaning of …
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 …
Government gives green light to Deferred Prosecution Agreements
In our earlier briefing we reported on the Government's consultation to introduce Deferred Prosecution Agreements ("DPAs") – a new …
UK regulatory reform: Consultation on the policy for the designation of investment firms for prudential supervision by the PRA
The Bank of England has published for consultation the draft policy about the designation of investment firms for supervision by the Prudential …
FSA prioritises effective corporate governance in insurers
Effective corporate governance within insurers, including in particular those operating with-profits businesses, has been a high priority for the FSA for …
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 …
Australian Securities Exchange (ASX) consults on update to continuous disclosure guidance
ASX has responded to the call of listed entities and advisers for greater clarity and guidance on continuous disclosure obligations by addressing …
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 …
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