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Results: 1-10 of 110

Financial Regulatory Developments 17 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 17 2014

FCA has banned the managing and finance directors of Pritchard Stockbrokers Limited for client money failings. The firm was censured. FCA would have

Financial Regulatory Developments 10 October - European Commission (Commission)

  • Dentons
  • -
  • European Union
  • -
  • October 10 2014

Jonathan Hill, Commissioner-Designate, has responded to questions from the European Parliament's Economic and Monetary Affairs Committee (ECON). ECON

Financial Regulatory Developments 19 September - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • September 19 2014

FCA has published its thematic review of mobile banking and payments. This follows its interim findings which it published just over a year ago. The

Financial Regulatory Developments 25 July - Serious Fraud Office (SFO)

  • Dentons
  • -
  • United Kingdom
  • -
  • July 25 2014

SFO has announced it has started an official investigation into criminal activities related to foreign exchange dealings. (Source: SFO Opens Forex

Financial Regulatory Developments 18 July - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • July 18 2014

ESMA has launched the consultation on the technical standards and technical advice it has to deliver to the Commission under the Market Abuse

Financial Regulatory Developments 27 June - Presidency of the Council of the EU (Presidency)

  • Dentons
  • -
  • European Union
  • -
  • June 27 2014

The Presidency has published its second compromise text on the revised Insurance Mediation Directive (IMD 2). One stylistic change substitutes the

Financial Regulatory Developments 20 June - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • June 20 2014

FCA has fined Credit Suisse International (CSI) £2,398,100 and Yorkshire Building Society (YBS) £1,429,000 for failures in financial promotions

Financial Regulatory Developments 20 June - Official Journal of the European Union (OJEU)

  • Dentons
  • -
  • European Union
  • -
  • June 20 2014

The text of the recast Markets in Financial Instruments Directive (MiFID 2) and its related Regulation (MiFIR) were published in OJEU on 12 June and

Financial Regulatory Developments 20 June - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • June 20 2014

In this year's Mansion House speech, key announcements were: the Fair and Effective Markets Review, a comprehensive review of standards in the fixed

Financial Regulatory Developments 6 June - European Commission (Commission)

  • Dentons
  • -
  • European Union
  • -
  • June 6 2014

The Commission has adopted an implementing Regulation on the extension of transitional periods relating to own funds requirements for exposures to