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Your search keyword '"Structured notes (Securities) -- Laws, regulations and rules"' showing total 6 results
Start Over Descriptor "Structured notes (Securities) -- Laws, regulations and rules" Publisher centaur communications limited
6 results on '"Structured notes (Securities) -- Laws, regulations and rules"'

1. INVESTMENT BRIEF: Index pointers

Subjects
Structured notes (Securities) -- Laws, regulations and rules, Government regulation
Abstract

Our panel assess the outlook for the UK stockmarket after this year's stunning rally, problems for income managers, the regulator's investigation of structured products and the likelihood of product regulation […]

Published
2009

2. REGULATION: Lehman delays cast a cloud over structured sector

Subjects
Structured notes (Securities) -- Laws, regulations and rules, Government regulation
Abstract

The FSA's request for the Financial Ombudsman Service to defer consideration of complaints about Lehman-backed structured products for a further three months is unwelcome news for investors. In May, the […]

Published
2009

3. Better Business: New Priips regulation clarifies responsibilities for advisers

Subjects
Consultants -- Laws, regulations and rules, Structured notes (Securities) -- Laws, regulations and rules, Government regulation, Banking, finance and accounting industries
Abstract

Advisers already meet the standards set by the new Prips regulation which should keep paperwork down TheEuropean Parliament and the Council of Member States have reached agreement on the proposal [...]

Published
2014

4. FSA's structured probe uncovers 'magic circle'

Author

Duncan, Chris

Subjects
Structured notes (Securities) -- Analysis, Structured notes (Securities) -- Investigations, Structured notes (Securities) -- Laws, regulations and rules, Company legal issue, Government regulation
Abstract

The FSA and Financial Ombudsman Service suspect that they have discovered inappropriate collaboration between providers and IFAs as part of their work into structured products, according to the ABI. Money […]

Published
2004

5. FSA reverts to annual statements

Subjects
Structured notes (Securities) -- Laws, regulations and rules, Financial statements -- Laws, regulations and rules, Financial services industry -- Laws, regulations and rules, Financial services industry, Government regulation
Abstract

The FSA has dropped its requirement for firms to issue six-monthly statements in favour of annual statements, following amendments to financial promotion rules for structured […]

Published
2004

6. Can't see scandal for the trees

Author

Lappin, John

Subjects
Structured notes (Securities) -- Laws, regulations and rules, Financial services industry -- Investor relations, Financial services industry, Government regulation
Abstract

The FSA's inaction over structured products may be a case of the regulator being unable to see the misselling scandal for the consultation papers. It was warned in 2001 by […]

Published
2004

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