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Results: 1-10 of 495

Consumer Rights Bill introduced in Parliament

  • Dentons
  • -
  • United Kingdom
  • -
  • June 14 2013

The Government has laid before Parliament the draft Consumer Rights Bill. Part 2 of the Bill consolidates and amends the legislation governing unfair

Banks agree to "same day retry" scheme

  • Dentons
  • -
  • United Kingdom
  • -
  • June 14 2013

Seven banks have agreed with FCA to "retry" later in the same day payments that originally fail. Barclays, The Co-operative, HSBC, Nationwide, RBS

FCA creates structured products page

  • Dentons
  • -
  • United Kingdom
  • -
  • June 14 2013

FCA has created a page on its website devoted to structured products. Its initial advice alerts firms to the financial promotions and suitability

Presidency publishes KID compromise

  • Dentons
  • -
  • European Union
  • -
  • June 7 2013

The Presidency has published a compromise text for the proposed Key Information Document (KID) for packaged retail investment products. (Source:

FCA fines £6 million for systems and controls failings

  • Dentons
  • -
  • United Kingdom
  • -
  • June 7 2013

FCA has fined Sesame Limited £6,031,200 for two failings. A small part of the fine relates to failure to ensure customers received suitable advice

FCA publishes UTCCR undertakings

  • Dentons
  • -
  • United Kingdom
  • -
  • June 7 2013

FCA has published undertakings from the Clerical Medical Investment Group Limited and the Equitable Life Assurance Society. FCA noted terms allowing

FSA fines for APER breaches and market abuse

  • Dentons
  • -
  • United Kingdom
  • -
  • July 13 2012

FSA has fined Jay Rutland, a former senior broker, £30,000 and banned him for breach of the Statements of Principle for Approved Persons (APER), for engaging in market abuse by making improper disclosure and encouraging others to deal in circumstances which would have amounted to insider dealing by Mr Rutland

FCA fines JP morgan for retail business failings

  • Dentons
  • -
  • United Kingdom
  • -
  • May 24 2013

FCA has fined J.P. Morgan International Bank Limited (JP Morgan) £3,076,200 for systems and controls failings. FCA found JP Morgan could not show it

More confusion on client money: the latest on Lehman

  • Dentons
  • -
  • United Kingdom
  • -
  • March 13 2012

The United Kingdom Supreme Court recently decided the appeal in the important case In the Matter of Lehman Brothers International (Europe) (LBIE) (In Administration) and In the matter of the Insolvency Act 1986 2012 UK (the Case

ESMA publishes AIFMD Level 2 advice

  • Dentons
  • -
  • European Union
  • -
  • November 18 2011

ESMA has published its advice to the Commission on the Level 2 measures under the Alternative Investment Fund Managers Directive

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