Searching Content indexed under Financial Services by Barlow Lyde & Gilbert LLP ordered by Published Date Descending.
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Assessing Investment Suitability
On 21 March 2011, the FSA published its finalised guidance on assessing suitability of investments (FG11/5).
27 Jun 2011
FSA Business Plan and Risk Outlooks 2011/12
Last month, the Financial Services Authority (FSA) published its Business Plan 2011/12, Retail Conduct Risk Outlook 2011 and Prudential Risk Outlook 2011.
13 Apr 2011
Financial Regulatory Reform In 2011
The Government published last month its latest consultation paper on the proposed reforms to the UK’s financial regulatory landscape, entitled "A new approach to financial regulation: building a stronger system" (the Paper).
25 Mar 2011
Developments in the UK: The Bribery Act and the FSA's Enforcement Drive
Two topical issues for directors and officers in the UK are the implementation of the Bribery Act 2010 and the FSA's mantra of credible deterrence, in particular the recent actions against D&Os in a management function.
2 Aug 2010
Government White Paper: ‘Reforming Financial Markets’
On 8 July 2009, HM Treasury’s White Paper entitled ‘Reforming financial markets’ (the ‘White Paper’) was published.
24 Jul 2009
Finality At Long Last For Lloyd´s Names - The Equitas Part VII Transfer
The High Court recently approved a landmark statutory transfer under Part VII of the Financial Services and Markets Act 2000 (“FSMA”), the largest and most significant of its kind to date, that will bring finality to members of Lloyd’s with 1992 and prior liabilities.
15 Jul 2009
Time Waits For No Man
The recent Court of Appeal decision in Shore v Sedgwick Financial Services Ltd (2008), which concerned a claim against an Independent Financial Adviser (IFA) for negligent advice in relation to a pension scheme, provides evidence of the problems facing the courts in applying the principles of limitation law, which in recent years have become increasingly uncertain and fact sensitive.
28 Aug 2008
Avoiding Lightning Strikes - Implications Of The Sub-Prime Crisis For Directors
A lot (perhaps too much) has been written about the wider implications of problems originating in the US associated with the practice of providing so-called sub-prime mortgages to high risk borrowers with poor credit histories. There is also plenty of speculation about the potential exposures for directors, banks and professional advisers.
19 Nov 2007
Solvency II And Group Regulation
The major developments that have emerged in insurance regulation over recent years are capital adequacy and corporate governance. It is anticipated that Solvency II will incorporate these developments.
3 Jul 2007
Outsourcing: Getting Ready For MiFID
Investment firms need to review their outsourcing arrangements in order to ensure compliance with the new regulatory regime which takes effect next year. This article considers the background to the new regime and outlines some of the steps which firms may consider in order to achieve compliance.
28 Nov 2006
Is It Too Hot In India? Practical Tips To Avoid The Heat
Everyone involved in the outsourcing world will know the outsourcing boom in India has led to a dramatic transformation in its economy. Insurance and financial organisations, amongst many others, have piled into the region in search of reductions in cost and potential improvements in service.
10 Nov 2006
Enron: The Pain Continues
As financial institutions continue to seek closure on their exposures arising out of a variety of practices engaged in around the turn of the Millennium, the insurance and reinsurance markets feel the consequences.
16 Aug 2006
Finite Reinsurance and the Use of Side Agreements
Regulators in both the US and UK have been paying close attention to finite reinsurance. The use of side letters in particular has been causing the regulators concern.
5 Jul 2006
Insurance and Conflict Management
The management of conflicts has become a key issue throughout the insurance industry, particularly for brokers and general insurers. At the same time, many in the industry have yet to realise the extent to which the issue may give rise to concerns beyond the general insurance and retail sectors.
10 May 2006
Shareholder Successfully Claims For Loss In Share Value
In the Margaretic case, a shareholder successfully argued his case against the administrators of a company for his claim of losses suffered by him as a result of depreciation of the value of his shares.
4 Apr 2006
The New Regime: What You Need To Know About Handling An FSA Investigation
The issue of enforcement and discipline under the FSA regime has been brought to the attention of many in the insurance industry.
26 Jan 2005
Review of Financial Services & Markets Act 2000
Since the Financial Services & Markets Act 2000 (‘‘FSMA’’) came into force on 1 December 2001 (the date known as N2) the Financial Services Authority (‘‘FSA’’) has continued its reform of the financial services industry through refinement of its regulatory approach and through revision and consolidation of its handbook. On 4 November 2003, the Treasury announced a review of FSMA after its first two years of operation.
7 Jan 2005
How Not to Prejudice Your Future Job Prospects!
The FSA can make orders which may have the effect of preventing individuals working in the financial services sector again.
21 Dec 2004
Is There Still Life in Securitisation?
At the end of last year, Barclays Life securitised the embedded value of the whole of its life insurance business. This followed the merger of Barclays Life and Woolwich Life and the transfer of the business of Barclays Life to Woolwich Life (subsequently renamed Barclays Life Assurance Company Limited ("BLAC")) using the Part VII transfer regime.
28 Jul 2004
The Credit Risk Transfer Market
The Credit Risk Transfer (CRT) market, where credit risks are packaged/sold by banks to buyers of securities/loans and writers of credit insurance/derivatives is probably the fastest growing and most vibrant market in the global financial industry.
28 Jul 2004
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