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Tim Aron

Tim Aron

Katten Muchin Rosenman LLP


Latest Posts › Financial Services Authority

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FSA Publishes Second AIFMD Consultation Paper

On March 19, the UK Financial Services Authority (FSA) published Consultation Paper CP13/9, its second consultation on the rules and guidance required for the UK transposition of the EU Alternative Investment Fund Managers...more

3/27/2013 - AIFMD Alternative Investment Funds Financial Services Authority

One-Day Prohibition Imposed on Short Selling of Four Italian Shares

On February 27, the UK Financial Services Authority (FSA) announced that it had prohibited short selling of the shares of four named Italian financial institutions for the duration of the February 27 trading day. The...more

3/7/2013 - Financial Services Authority Short Sales

FSA Updates Guide to the New PRA and FCA Handbooks

On February 19, the UK Financial Services Authority (FSA) published an updated “one-minute guide” summarizing the changes to the FSA Handbook that will come into effect when the FSA’s two successor regulatory bodies, the...more

2/27/2013 - EU Financial Conduct Authority Financial Services Authority Handbooks Prudential Regulation Authority

MF Global Judgment Clarifies Law on Client Money Entitlement

A High Court judgment by Mr. Justice Richards handed down on January 29 has confirmed that a client’s open positions on trades, made with a firm regulated by the UK Financial Services Authority (FSA) that subsequently enters...more

2/10/2013 - Chapter 7 Commercial Bankruptcy Financial Services Authority Liquidation MF Global

Appeal Tribunal Confirms £8 Million Market Manipulation Fine

On January 28, the Upper Tribunal (Tax and Chancery Chamber) upheld the decision of the Regulatory Decisions Committee (RDC) of the UK Financial Services Authority (FSA) to impose a fine of £8 million (approximately $12.6...more

2/8/2013 - Financial Services Authority Trade Market Abuse

Preparing for UK Regulatory Change: An Overview of the New Framework

In the aftermath of the 2008 financial crisis, all of the major political parties in the UK proposed significant change to the system of financial regulation. On election in 2010, the coalition government set out its belief...more

12/20/2012 - Bank of England EU Financial Conduct Authority Financial Policy Committee Financial Services Authority Prudential Regulation Authority

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