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Blue Index insiders outed and charged
The FSA has charged five people with 17 counts of insider dealing, while in a related parallel investigation undertaken in the US by the SEC, Department of Justice and FBI, a San Francisco-based couple were..
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
Sectioned
A fast-growing number of financial institutions – including some well-known names – have paid for external investigations instigated by the Financial Services Authority into their operations. Section 166 reports have become part of normal regulatory supervision in the post-crisis climate but, as Esther Martin reports, there are concerns about aspects of their use.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
Stepping into the shadow structure
With the transition to the UK’s new regime for financial regulation only months away, Jacqui Hatfield discusses latest developments and potential pitfalls.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
The future is European
Brian McDonnell reports on the sea change towards European-led supervision, as we head into the decade with new “watchdogs with a bite”.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
Compliance professionals’ bumpy road
The last 12 months have seen a change of government and continued post-crisis transition into the tougher regulatory era. Joslin Rowe and Compliance Monitor’s annual survey of over 50 City personnel (78% of whom were heads of compliance and the rest senior managers) found that – though most feel fairly paid – they still struggle to obtain a positive perception of their role and are pessimistic about coming reforms to the supervisory structure.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
Is TCF lacking TLC?
Charles Meade-King examines its aims and outcomes.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
Dear Prudence
This is no time for hiding from the new reality, say Brett Hillis, Emma Radmore and Madeleine de Remusat. They outline recent developments and help us open up our eyes to face the future of bank capital regulation.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
The AIFM Directive’s final furlong
On 11 November the European Parliament adopted the Alternative Investment Fund Managers Directive (AIFMD), ending almost 18 months of uncertainty about the content of this legislation. Charlotte Hill looks at the progress of the directive so far and considers the details of its final form.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
Enforcement gathers force
Recent proposals to bolster the FSA’s enforcement powers could have real bite, says Ian Mason.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
‘Clear’, ‘fair’ and new media
Complying with regulations on traditional financial promotions is tricky enough, so applying the rules to modern communication techniques – many of which are instant, hard to control and far more powerful than the quill pen – can be a nightmare. Adam Samuel has consulted on financial promotions related to websites, mass emailing and can also be found trying to have firms’ Facebook and LinkedIn pages removed before the regulator spots them. He tackles some problem areas.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010
Solvency II and the reportable rogues
If your idea of a rogue is a moustache-twirling reprobate in a Victorian novel, think again. John Webb reveals them lurking in Solvency II – as an acronym of key issues to be treated proportionally – and discusses their required documentation.
Online Published Date:
17 December 2010
Appeared in issue:
Vol 23 No 4 - 01 December 2010