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Results: 1-10 of 573

Financial Regulatory Developments 12 December - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 12 2014

PRA has published an update on its proposals for implementing the Bank Recovery and Resolution Directive (BRRD). It says it expects to have the power

Financial Regulatory Developments 12 December - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 12 2014

FCA has published a new page on its website explaining the 317 new validations it and PRA will activate in respect of reporting under CRD 4 on 17

Financial Regulatory Developments 5 December - European Insurance and Occupational Pensions Authority (EIOPA)

  • Dentons
  • -
  • European Union
  • -
  • December 5 2014

EIOPA is consulting on product intervention powers under the Regulation on Key Information Documents for Packaged Retail and Insurance-Based

Financial Regulatory Developments 5 December - Council of the European Union (Council)

  • Dentons
  • -
  • European Union
  • -
  • December 5 2014

The Presidency has published its compromise response to the proposal for a Regulation on money market funds (MMFs). It has proposed significant

Financial Regulatory Developments 5 December - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 5 2014

FCA is consulting on its policy proposals for its 201516 fees and levies. The paper covers in particular:fees for the Payment Services Regulator

Financial Regulatory Developments 28 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 28 2014

FCA has published the results of its thematic review into conflicts of interest arising from wealth management and private banking firms’ use of

Financial Regulatory Developments 21 November - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 21 2014

Treasury is consulting on proposals to extend the Senior Managers and Certification Regime to all banks and significant investment firms that have a

Financial Regulatory Developments 21 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 21 2014

FCA has carried out further reviews on: how small banks manage money laundering and sanctions risks; and how insurance brokers manage bribery and

Financial Regulatory Developments 14 November - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • November 14 2014

ESMA has launched a call for evidence to help it draft its Opinion on passporting under the Alternative Investment Fund Managers Directive (AIFMD

Financial Regulatory Developments 14 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom, USA
  • -
  • November 14 2014

FCA and the US Commodity Futures Trading Commission (CFTC) have fined five banks more than $3 billion for failures in their FX trading operations