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Journal Articles

FSA discussion paper on product intervention

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Simon Gleeson, Chris Bates, Charles Morris
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (2): 72–75.
https://doi.org/10.1108/15285811111142928
Published: 14 June 2011
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Journal Articles

New CfD disclosure regime comes into force on June 1, 2009

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Chris Bates, Carlos Conceicao, Mark Poulton, David Pudge
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2009) 10 (3): 44–48.
https://doi.org/10.1108/15285810910995584
Published: 11 September 2009
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Journal Articles

New FSA disclosure regime for short selling during rights issues

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Chris Bates, Carlos Conceicao, Guy Norman, David Pudge, Patrick Sarch
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2008) 9 (3): 44–48.
https://doi.org/10.1108/15285810810908734
Published: 12 September 2008
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Journal Articles

A New Millennium, A New Regulator? The Financial Services Authority's Approach

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KAREN ANDERSON, CHRIS BATES, GEORGE STAPLE
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2001) 1 (4): 7–11.
https://doi.org/10.1108/eb045888
Published: 01 January 2001
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