FSA (DK) has in March 2007 issued regulations regarding investor protection, order handling and disclosure obligations for issuers.
Archive for March, 2007
FSA (DK) issues regulation of investor protection, order handling and disclosure
Published by March 28th, 2007 in www.nordicsecurities.org, Denmark, FSA (DK) and Nordic Countries in common. 0 CommentsFSA (UK) publishes Perimeter Guidance relating to MiFID
Published by March 23rd, 2007 in www.nordicsecurities.org, United Kingdom (UK) and FSA (UK). 0 CommentsFSA published on 2007-03-23 Perimeter Guidance relating to MiFID - PS07/5. The guidance will help firms judge whether they fall within the scope of MiFID and should reduce firms’ costs by cutting down on the need for them to obtain legal advice on scope issues. PS07/5 complements FSA’s work in individually assisting firms in understanding their […]
Ministry of Finance (NO) has submitted a bill on MiFID
Published by March 23rd, 2007 in www.nordicsecurities.org, Norway, Finance Ministry (NO) and Nordic Countries in common. 0 CommentsMinistry of Finance (NO) (Finansdepartementet) has on 2007-03-23 submitted a bill on MiFID and on stock exchange operations , ref. Ot. prp. nr. 34 (2006-2007).
Joint industry response on CESR’s consultation on MiFID Best Execution
Published by March 23rd, 2007 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), Nordic Countries in common, LIBA, Germany, CESR, bwf and MiFID Connect. 0 CommentsA joint industry response was submitted on 2007-03-16 on CESR’s consultation on MiFID Best Execution.
EC responds to CESR on the scope of MiFID provisions on Best Execution
Published by March 23rd, 2007 in www.nordicsecurities.org, EU, CESR and EC. 0 CommentsThe European Commission responded to ESC on 2007-02-14 to CESR’s request to get guidance on the scope of MiFID provisions on Best Execution.
Joint UK industry response on Conduct of Business Regulation and Financial Promotion
Published by March 23rd, 2007 in www.nordicsecurities.org, United Kingdom (UK), FSA (UK), LIBA and MiFID Connect. 0 CommentsA joint UK industry response was submitted on 2007-02-23 to the FSA on CP 06/19 and CP06/20 regarding reforming Conduct of Business Regulation .
Joint industry response on CESR’s consultation on Transaction Reporting
Published by March 23rd, 2007 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, Other countries, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), Nordic Countries in common, EU, LIBA, Germany, BDB and CESR. 0 CommentsA joint industry response was submitted on 2007-03-02 to CESR’s proposal on Transaction Reporting. CESR’s consultation paper is found on www.cesr.eu under consultations.
Joint responses on CESR’s consultations on Inducements and Home/host surveillance
Published by March 23rd, 2007 in www.nordicsecurities.org, Sweden, Denmark, Norway, Finland, Iceland, DSDA (DK), SSDA (SE), FASD (FI), BSDA (IS), United Kingdom (UK), NSDA (NO), Nordic Countries in common, LIBA, Germany, CESR and bwf. 0 CommentsTwo joint industry responses were submitted 2007-02-09 to CESR on Inducements and on Pass porting and Home/host country surveillance. CESR’s documents are to be found on www.cesr.eu consultations.
