News & Analysis as of September 24, 2024

Financial Services Authority › Disclosure Requirements

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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 +

UK Sustainability Disclosure Requirements – A Recap

Morrison & Foerster LLP on 9/29/2023

The UK’s financial services regulator, the Financial Conduct Authority (FCA), has delayed the release of its policy statement setting out the final rules of the Sustainability Disclosure Requirements (SDRs), leaving asset...more

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

Orrick - Finance 20/20 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

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

FSA Announces Interim Short Sale Reporting Channel

Katten Muchin Rosenman LLP on 11/8/2012

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

Orrick - Finance 20/20 on 11/8/2012

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

Katten Muchin Rosenman LLP on 11/1/2012

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

Katten Muchin Rosenman LLP on 10/4/2012

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

Orrick - Finance 20/20 on 10/4/2012

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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Financial Services Authority › Disclosure Requirements

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