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Results: 1-10 of 94

Financial Regulatory Developments 17 April - European Commission (Commission)

  • Dentons
  • -
  • European Union
  • -
  • April 17 2014

The Commission has welcomed the Council's formal adoption of the Market Abuse Regulation and Directive on Criminal Sanctions against Market Abuse

Financial Regulatory Developments 17 April - Upper Tribunal (Tribunal)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 17 2014

The Tribunal has backed FCA's decision to fine Amir Khan £80,000 for various dishonest activities relating to mortgage applications. FCA also banned

Financial Regulatory Developments 4 April - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 4 2014

George Osborne has made clear the Government's concerns that FCA briefed a single journalist on its proposed work in the insurance sector, which led

Financial Regulatory Developments 28 March - European Commission (Commission)

  • Dentons
  • -
  • European Union
  • -
  • March 28 2014

The Commission has answered two further questions on how the e-money Directive applies. It has confirmed the Directive would not extend to activity

Financial Regulatory Developments 7 February - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • February 7 2014

FCA has published a policy statement confirming its new rules which: ban new referral payments from a discretionary investment manager (DIM) to an

Financial Regulatory Developments 7 February - European Parliament (EP)

  • Dentons
  • -
  • European Union
  • -
  • February 7 2014

EP has approved CSMAD by a large majority vote. It commented that, among other things, a number of offences relating to insider dealing, market abuse

Financial Regulatory Developments 7 February - European Commission (Commission)

  • Dentons
  • -
  • European Union, USA
  • -
  • February 7 2014

The Commission has published its first EU anti-corruption report. The report looks at each Member State's laws and practices, analysing how well they

Financial Regulatory Developments 3rd January - Council of the EU (Council)

  • Dentons
  • -
  • European Union
  • -
  • January 3 2014

The Council's Committee of Permanent Representatives (COREPER) and EP have agreed the text of CSMAD. CSMAD will require Member States to impose

Financial Regulatory Developments 3rd January - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 3 2014

FCA has fined JLT Specialty Limited £1,876,000 for failing to have in place appropriate checks and controls to guard against the risk of bribery or

Financial Regulatory Developments 29 November 2013 - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 29 2013

Treasury has renewed a designation under the Terrorist Asset Freezing etc Act 2010. (Source: Treasury Renews