Investment Adviser Financial Services Authority

News & Analysis as of

Corporate and Financial Weekly Digest - March 22, 2013

In this issue: - NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers - FINRA’s Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time -...more

Orrick's Financial Industry Week in Review - March 11, 2013

In This Issue: *Financial Industry Developments - SEC Risk Alert and Investor Bulletin on Investment Adviser Custody Rule - FHFA Outlines 2013 Goals for Fannie and Freddie - Rating Agency Developments ...more

New UK Distribution Rules Effective December 31 – the Impact on Fund Managers

The UK’s Retail Distribution Review (“RDR”) comes into force on December 31, 2012. Despite its title, the RDR will not be limited to the protection of investors that might traditionally be considered to be retail. The RDR may...more

Imminent Thematic Review by FSA of Asset Managers in the UK

The Financial Services Authority is shortly to embark on a thematic review of asset managers. Its focus will be on the risks of bribery and corruption, sanctions and money laundering. Twenty two firms have already been...more

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