Financial Services

UPDATE BRIEF : 19 March 1999 - CD issue

Personal Investment Authority

» Disciplinary Press Release D0014/99 : PIA fines and reprimands Fortune Financial Services

» Disciplinary Press Release D0015/99 : PIA reprimands World Premiere Financial Services Limited

» Regulatory Updates Index

Securities and Futures Authority

» Board Notice 509 : Amendments to Appendix 5 – Rule Changes

» Board Notice 510 : Amendment to Rule 5-22(7)(d) – Rule Change

» Board Notice 511 : Guidance : Dealings with undisclosed Principals – Confirmation of Board Notice 490

Work in Progress

» Securities and Futures Authority:

 

Publication	Expected CD Release Date
Amendments to Board Notice 487 : Confirmation of Board Notice 457 and Board Notice 469 – Rule Changes (Coming into force 21 July 1999)

» Personal Investment Authority:

 

Publication	Expected CD Release Date
1998 Disclosure Report	26/3/99

» Financial Services Authority:

 

Publication	Expected CD Release Date
Consultative Paper 20 : The Qualifying Conditions for Authorisation	2/4/99

Previous Weekly Updates for March

5 March 1999

 

Update	Rulebook
Regulatory Update 63	Personal Investment Authority
Persistency Report	Personal Investment Authority
Disciplinary Press Release D0013/99 : PIA revokes the suspension of Millers Financial Services	Personal Investment Authority
Budget and Fees 1999/2000	Personal Investment Authority

12 March 1999

 

Update	Rulebook
Consultation Paper 19 : Simplification of the pension review – Loss assessment calculations for transfers	Financial Services Authority
Press Release 004/99 : PIA publishes Disclosure Report	Personal Investment Authority
Board Notice 508 : Hawthorne Securities Limited and Neil Thorneywork	Securities and Futures Authority

Corporate Finance

UPDATE BRIEF : 19 March 1999 - CD issue

Bank of England

» BA/202 : Amendments to the list of Authorised Institutions

» FSA s43/114 : Amendments to the list of Listed Money Market Institutions

London Stock Exchange

» Amendment 8

Securities and Futures Authority

» Board Notice 509 : Amendments to Appendix 5 – Rule Changes

» Board Notice 510 : Amendment to Rule 5-22(7)(d) – Rule Change

» Board Notice 511 : Guidance : Dealings with undisclosed Principals – Confirmation of Board Notice 490

Work in Progress

» Securities and Futures Authority:

 

Publication	Expected CD Release Date
Amendments to Board Notice 487 : Confirmation of Board Notice 457 and Board Notice 469 – Rule Changes (Coming into force 21 July 1999)

Previous Weekly Updates for March

5 March 1999

 

Update	Rulebook
Notice N10/99 : Domestic Equity Market – When Issued Dealing – South African Breweries Plc	London Stock Exchange
Notice N11/99 : Domestic Equity Market – When Issued Dealing – Synstar Plc	London Stock Exchange
Notice N12/99 : Settlement Discipline : Deletion of Central Enforcement Rules	London Stock Exchange
Panel Statement 4/99 : The Great Universal Stores Plc – Argos Plc	City Code on Takeovers and Mergers

12 March 1999

 

Update	Rulebook
Notice N13/99 : Traditional Options Market – K&H Options Ltd – Cessation as traditional option dealer	London Stock Exchange
Board Notice 508 : Hawthorne Securities Limited and Neil Thorneywork	Securities and Futures Authority