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Financial Services & Markets

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  • Living Wills: An Overview - Here we summarise the impact for clients, which, under The Financial Services Act 2010, are required to prepare recovery and resolution plans (commonly known as a living will). Read more >
  • FSA CP 10/09 - Enhancing the Client Assets Sourcebook - Jonathan Marsh considers how the FSA's proposals on strengthening the client assets regime might affect clients.  Read more >
  • Dawn Raids - Be prepared - Nathan Willmott and Aaron Stephens consider the steps which firms should be taking to protect themselves and ensure that they are prepared should the FSA conduct a dawn raid.  Read more >
  • Hedging losses lead to focus on Agreements - David Hughes and Daniel Warents (a pupil barrister at 24 Old Buildings) consider a recent rash of cases arising out of the collapse of a number of indices published by the Baltic Exchange and the resulting judicial focus on the terms of the ISDA Master Agreement.  (This article is copyright Informa and is reproduced with permission. Reproduction, retrieval, copying or transmission of this article is not permitted without the publisher's prior consent. Informa does not guarantee the accuracy of the information contained in this article nor does it accept responsibility for errors or omissions or their consequences.  This article appeared in Lloyd's List on the 23 December 2009.  For more information visit www.lloydslist.com)  Read more >
  • Redressing the balance - Nathan Willmott and Polly James explain how financial services firms might be affected by the Government's proposals for improving consumer redress.  This article first appeared in Compliance Monthly (October issue).  Read more> 
  • FSA aims sights on senior management - Nathan Willmott and Polly James consider the main legal bases upon which the FSA can pursue a case against an Approved Person and the penalties and sanctions which can be imposed. They also consider the particular difficulties that the FSA is likely to face in such cases.  Read more >
  • The FSA's Changing Approach to Investigating and Punishing Regulatory Misconduct - Nathan Willmott and Polly James consider the practical implications for firms and individuals of the change in the FSA’s approach to regulatory misconduct.  This article first appeared in the April 2009 issue of Compliance Officer Bulletin.  Read more >
  • FSA sets out the timetable for the Retail Distribution Review - The FSA has delivered two keynote speeches on the Retail Distribution Review which confirm the main changes to be made to the retail investment market.  Read more >
  • Financial Services & Investment Management: FSA extends short selling disclosure regime - Following its consultation on short selling measures last week, the FSA has confirmed that it will extend the short selling disclosure regime until 30 June 2009.  Read more >
  • The draft bribery bill: impact on financial services - Aaron Stephens outlines the provisions of the Bribery Bill (expected to come into force in 2010) and discusses the likely approach of the SFO and the FSA, concluding that organisations must take careful stock of their anti-bribery compliance and training programmes to ensure that they are adequate for the new regulatory environment.  (This article first appeared on Complinet (www.complinet.com) on 12 February 2009.)  Read more
  • Investigating market abuse: the risks of unannounced FSA telephone interviews (PDF) - Nathan Willmott and Jagdeep Tiwana comment on the risks of unannounced FSA telephone interviews in September's edition of FSLA Update.  Read more >

Get in touch

Sidney Myers

Sidney Myers

BLP
Partner, Head of Financial Services

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