Financial Services Authority › Disclosure Requirements

The Financial Services Authority is an independent financial regulatory body within the United Kingdom. The FSA establishes standards for most financial services markets, exchanges, and firms and pursues legal... more +

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News & Analysis as of May 20, 2013

FCA Urges Firms to Update Status Disclosures to Reflect Creation of the FCA and PRA

by Orrick - Structured Finance Group on 5/9/2013

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 FSA and ESMA Get Technical on Prospectuses

by Jeremy C. Jennings-Mares, Lewis Gavin Lee | Morrison & Foerster LLP on 3/21/2013

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

Summary of FSA Answers to Public Comments on Proposed Amendments to Asset Management Regulations as a Result of the AIJ Scandal

by Tomoko Fuminaga, Norifusa Hashimoto, Koichiro Ohashi, Christopher P. Wells | White & Case LLP on 3/5/2013

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

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Financial Services Authority › Disclosure Requirements

FCA Urges Firms to Update Status Disclosures to Reflect Creation of the FCA and PRA

The FSA and ESMA Get Technical on Prospectuses

Summary of FSA Answers to Public Comments on Proposed Amendments to Asset Management Regulations as a Result of the AIJ Scandal

FSA Announces Interim Short Sale Reporting Channel

FSA Issues Fines Totalling £250,000 for Transaction Reporting Failures

FSA Fines Two Firms for Transaction Reporting Failures

FSA Notification Procedure for Short Selling Regulation Exemptions

FSA Guidance on Proportionality in Relation to its Remuneration Code

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