News & Analysis as of

Disclosure Requirements Financial Services Authority

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

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 Morrison & Foerster LLP on

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 White & Case LLP on

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

FSA Announces Interim Short Sale Reporting Channel

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

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

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

FSA Fines Two Firms for Transaction Reporting Failures

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

FSA Notification Procedure for Short Selling Regulation Exemptions

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

FSA Guidance on Proportionality in Relation to its Remuneration Code

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). ...more

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