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he New UK Market Abuse Regime – A Short Introduction
Chris Bates, Clifford Chance, London. Chris.Bates@cliffordchance.com
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
CP78: The FSA’s new price stabilising rules
Chris Bates, Clifford Chance, London. Chris.Bates@cliffordchance.com
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
FSA “Finalises” Key Components of the Regulatory Regime to apply to Individuals.
Legal Status of ‘Final Text’ Handbook Requirements
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
Papers published on European Passport for Issuers and Conduct of Business rules
The Forum of European Securities Commissions (FESCO) has published two new documents, a report on “A European Passport for Issuers” for the EU Commission and a consultation paper on the “Harmonisation of Core Conduct of Business..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
Basel Committee explores the roles of auditors and bank supervisors
The Basel Committee on Banking Supervision has released a new draft standard, “The Relationship between Banking Supervisors and Banks’ External Auditors”, that looks into the roles played by auditors and bank supervisors.
Auditors,..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
Final Lamfalussy report details a 4 level approach
Karel Lannoo, Senior Research Fellow, Centre for European Policy Studies. Klannoo@ceps.be
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
Return of the G30
The Group of Thirty (G30), the Washington-based think-tank, has announced its intention to undertake a new study of securities clearing and settlement arrangements.
The aim of the new research will be to identify vulnerabilities in the global..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
CCP comes into force in London
The Central Counterparty (CCP) for stocks traded on the London Stock Exchange (LSE), run in partnership with the London Clearing House and Crest, went live on February 26.
With the introduction of the CCP aims to reduce risk for buyers and sellers,..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
T+3 improves settlement rate
The London stock market moved to T+3 settlement early in February with relatively few problems, according to the London Stock Exchange.
On the first two days of the new settlement cycle T+5 trades were settled alongside the new cycle. Contrary to..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
OGCISS meeting hailed a success
The fourth annual meeting of the Offshore Group of Collective Investment Scheme Supervisors (OGCISS), held in the British Virgin Islands has been hailed as a great success.
The group held wide-ranging discussions on developments in the regulatory..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
Borsa chief casts doubt on mergers
Massimo Capuano, chief executive of Borsa Italiana, has expressed his serious doubts about the practicality of a full-blown merger among the European stock exchanges.
Specifically he believes there are too many barriers to combining the individual..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
ESF delighted by Lamfalussy committee findings
Pen Kent, executive Chairman of the European Securities Forum (ESF) has enthusiastically welcomed the conclusions drawn by the Committee of Wise Men on the subject of European clearing and settlement in their final report.
The report states that the..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
Developments in Securities and Financial Sectors
Brian Chia. Wong & Partners, Kuala Lumpur. brian.chia@wongpartners.com
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
Capital Adequacy and Provisioning Requirements for Investment Guarantees under MPF Schemes
Nick Etches, KPMG, Hong Kong. Nick.etches@kpmg.com.hk
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
Consultation Conclusion Report and the Revised Code of Conduct for Persons Registered with the Securities and Futures Commission
Nick Etches, KPMG, Hong Kong. Nick.etches@kpmg.com.hk
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
NASD Regulation files six enforcement actions
NASD Regulation has filed six separate enforcement actions against firms for the improper marketing and sale of variable annuities. These disciplinary actions represent the first cases resulting from a series of special examinations focusing on the..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001
SEC penalises non-US company for press statements in its home country
The US Securities and Exchange Commission has confirmed that, in certain circumstances, the anti-fraud provisions of the US securities laws apply to communications made by a non-US company within the borders of that company’s home..
Online Published Date:
01 March 2001
Appeared in issue:
4.3 - 01 March 2001