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Briefings in English - 2003

Political risk insurance: another test

This briefing tracks recent developments in political risk insurance, looking specifically at claims arising in the wake of Argentina's economic crisis in 2001. (December 2003)

The Proceeds of Crime Act 2002

The Proceeds of Crime Act 2002 (POCA), which came into force in February 2003, increases the likelihood of firms having to make a disclosure. But when doing so, they may be caught between their obligation not to divulge details of the disclosure to their client, and their contractual obligations to the client. This briefing looks at the practical issues POCA raises regarding those obligations and offers some practical advice if a disclosure is necessary. (November 2003)

Implementing the Distance Marketing Directive: another compliance regime

The FSA has published its proposals to implement the Distance Marketing Directive. The Directive is intended to help cross-border marketing of retail financial services by harmonising information requirements and cancellation rights. However, its implementation will require firms to operate a separate compliance regime for products sold at a distance. (October 2003)

The insolvency of insurers - EU Directive on the reorganisation and winding-up of insurance undertakings

This guide summarises the Directive, considering its effects on all those involved in the London market. (June 2003)

FSA consultation paper 176 - Bundled brokerage and soft commission arrangements

The FSA has published a consultation paper (CP 176) on bundled brokerage and soft commission arrangements. CP 176 sets out the results of the FSA's review of the current regulatory regime for soft commission and bundled brokerage arrangements and recommends ways in which the regime could be strengthened. Comments on CP 176 should be sent to the FSA by 29 August 2003. (May 2003)

FSA consultation paper 171 - Conflicts of Interest: Investment Research and Issues of Securities

FSA consultation paper 171 Conflicts of Interest: Investment Research and Issues of Securities sets out the FSA's proposed guidelines to strengthen the regulatory regime for investment research and securities issues in order to promote higher standards. (March 2003)

The Prospectus Directive

The revised Prospectus Directive is designed to replace the Directive on Listing Particulars and the Directive on Prospectuses. The existing directives have had only limited success in creating common standards for issues of securities throughout the EU and in achieving mutual recognition of prospectuses and listing particulars. (February 2003)

The bank of the future

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