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b3b - L'actualité Banque & Web
       Posted on January 11th, 2012

Communication with Financial Analysts and Related Disclosure Issues

Cleary Gottlieb recently updated a memorandum addressing disclosure issues that frequently arise in communications between a public company and the market. The memorandum, “Communication with Financial Analysts and Related Disclosure Issues,” includes recent developments in the enforcement of Regulation FD, as well as judicial decisions relating to Rule 10b-5 and the duty to [...]


       Posted on January 8th, 2012

Proposed Changes to the Code of Ethics for Professional Accountants Addressing Conflicts of Interest – International Ethics Standards Board for Accountants Exposure Draft

This memorandum provides background for, and an explanation of, the proposed changes to various sections in the Code of Ethics for Professional Accountants (the Code) related to provisions addressing conflicts of interest. The International Ethics Standards Board for Accountants (IESBA) approved these proposed changes for exposure in October 2011. The Code contains two [...]


       Posted on December 13th, 2011

Progress towards the Professionalism requirements of the Retail Distribution Review – Research Report

This report provides the findings of a study conducted by RS Consulting on behalf of the Financial Services Authority (FSA) to estimate the size of the Retail Investment Adviser (RIA) population and measure progress towards the Professionalism requirements of the Retail Distribution Review (RDR). It also looks at how the requirements of the [...]


       Posted on December 12th, 2011

Non Executive Directors conference; delivering fair treatment for consumers of financial services – FSA Guidance consultation

This guidance follows on from the Non-Executive Director (NED) Conference that we held on Tuesday 6 December 2011. 1.2 The purpose of the guidance is to set out to firms FSA’s expectations of NEDs in delivering the appropriate management of retail conduct risk within firms. By retail conduct risk, the FSA means the [...]


       Posted on November 2nd, 2011

ASIC’s priorities – Financial advice, licensing and supervision

Greg Medcraft outlines ASIC‘s priorities for the next five years and explains how ASIC‘s involvement in creating a professional financial advice industry fits in to its strategic framework.

Source: ASIC


10 pages