Financial services authority (fsa)
Investment banks still have 'significant' work to do on anti-bribery...
Newly released thematic review finds weaknesses in systems and controls across the sector
Though little has changed since the FSA published draft guidance on structured products towards the end of last year, the newly released formal guidance contains an additional steer on the subject of stress...
The UK Financial Services Authority has issued another massive document containing its thoughts on structured products and, notably, stating that its concerns about structured deposits are no longer critical...
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More Financial services authority (fsa) articles
FSA: facing up to cross-jurisdiction conflicts
David Lawton, head of market infrastructure and policy at the UK’s Financial Services Authority, talks to Michael Watt
Banks tout break clauses as capital mitigant
Dealers say they are willing to jeopardise client relationships by exercising break clauses that allow trades to be terminated early – and should receive capital relief as a result. But regulators need to be convinced. By Matt Cameron
Beyond Basel 2.5: regulators prepare trading book review
The Basel Committee is planning to launch its long-awaited review of trading book capital rules within the next few months. It could redefine the boundaries of the trading book, seek to reflect market liquidity and also overhaul the current patchwork...
UK distributors anxious as Financial Services Authority flexes its muscles...
Distributors in the UK are getting anxious about increased regulatory pressure. The Financial Services Authority (FSA), for example, has already fined Santander £1.5 million for launching products that were not in line with its requirements. "It's...
Trade of the month: investment strategies
The UK Financial Services Authority review of structured products has encouraged issuers to take a closer look at product design, with an eye to creating investments with an outcome that investors can understand. For example, Royal Bank of Scotland (RBS)...
Low risk, high return: getting the most from a low risk asset strategy
Market volatility has made life insurers and pension funds wary of credit risk, but yields on safer assets remain disappointing. Blake Evans-Pritchard reports on ways of bettering the return while limiting risk
Calls for more proportionate Solvency II regime grow
The concept of proportionality is fundamental to Solvency II. Yet smaller insurers fear that the compliance burden they face will be too onerous. Thomas Whittaker examines whether the proportionality principle is really being applied
Using market and credit risk analytics to strengthen performance
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Using market and credit risk analytics to strengthen performance
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How financial services need to consider their IT infrastructure
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