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On May 1, the FCA published a press release stating that it expects firms to review their regulatory status disclosures as a priority and ensure that they are up to date and accurate following the creation of the FCA and PRA...more
The Prospectus Directive (the “PD”) and the Prospectus Directive Regulation (the “PD Regulation”) were recently amended, in each case with effect from 1 July 2012. These new rules introduced a number of significant changes...more
This Client Alert is a summary of important observations contained in the response of the Financial Services Agency of Japan (“FSA”) to public comments on proposed amendments to the various financial regulations of Japan in...more
On October 31, the UK Financial Services Authority (FSA) published on its short selling webpage forms for notification of net short positions in UK issuers required to be disclosed to the FSA under the EU Short Selling...more
The FSA has fined two firms a total of £250,000 for failing to provide accurate and timely transaction reports to the FSA in respect of reportable transactions carried out....more
On October 24, the UK Financial Services Authority (FSA) announced that it had fined two firms for failing to provide accurate and timely transaction reports. Plus500UK Limited (Plus500), an online contacts for difference...more
Article 17 of the EU Short Selling Regulation (EU236/2012) (the Short Selling Regulation) provides for certain exemptions for market-making activities and primary market operations from the requirements to make notifications...more
On September 25 the FSA published Finalised Guidance 12/19: General guidance on Proportionality: The Remuneration Code (SYSC 19A) & Pillar 3 disclosures on remuneration (BIPRU 11) (FG12/19).
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