The Financial Services Authority and the UK Treasury have jointly published a consultation paper which follows the adoption of an Amending Directive on 24 November 2010, which revised both the Prospectus Directive and the Transparency Directive.

In stage two of the Australian Securities and Investments Commission's review of the financial advice industry, ASIC intends to provide a questionnaire to 30 of the largest financial service licensees that will include specific questions on licensee business models, training of representatives,

The Financial Services Authority has published a speech presented by Clive Adamson (Director of Supervision, the FSA Conduct of Business Unit) at the Non-Executive Directors’ Conference on 6 December 2011 where he discusses how the FSA is developing the supervisory approach or philosophy for the pro

The Financial Services Authority has published a guidance consultation which sets out the FSA’s expectations of non-executive directors in delivering the appropriate management of retail conduct risk within firms.