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FSA Speech on Creating the Financial Conduct Authority

The chief executive of the Financial Services Authority ("FSA"), Hector Sants has given a speech in which he discusses the FSA’s current thinking with regard to the regulatory philosophy in which the Financial Conduct Authority ("FCA") will be created, including: the consumer pro
Originally Published: 
Wednesday, March 2, 2011

Implementation of the IOSCO Credit Rating Agencies Principles

The purpose of the report was to evaluate, in light of the 2003 IOSCO Principles Regarding the Activities of Credit Rating Agencies, several of the recent regulatory initiatives that impact or will shortly impact credit rating agencies whose ratings are used for regulatory purposes in multiple juris
Originally Published: 
Thursday, February 24, 2011

IOSCO Discussion Paper on Mitigating Systemic Risk

The International Organisation of Securities Commissions has released a paper which aims to promote discussion among regulators on the ways systemic risk comes under their mandates, and to give them insights into how they can identify, monitor, mitigate and manage systemic risk.
Originally Published: 
Thursday, February 24, 2011

IOSCO Report on the Trading of OTC Derivatives

The International Organisation of Securities Commissions has released a report which analyses the trading of over-the-counter derivatives.
Originally Published: 
Friday, February 18, 2011

SEC Study on Investment Advisers and Broker-Dealers

The Securities and Exchange Commission study, prepared pursuant to Section 913 of the Dodd-Frank Act, investigates the effectiveness of the standard of care required of broker-dealers and investment advisers that provide personalized investment advice regarding securities to retail customers.
Originally Published: 
Friday, January 21, 2011

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