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FSA bans for improper governance
- Dentons
- -
- United Kingdom
- -
- October 1 2010
FSA has banned Gerald Classey, a partner at First Colonial Investments LLP, for failings including failure to exercise proper oversight of the stockbroking business of the firm and not telling the FSA about previous convictions
FSA fines pension switching firms
- Dentons
- -
- United Kingdom
- -
- February 18 2011
FSA has fined two firms that did not check that the advice they gave on switching pensions was suitable
FSA acts against land banks
- Dentons
- -
- United Kingdom
- -
- June 10 2011
FSA has obtained a winding up order in the High Court against one land banking company and court sanctioning of a continued worldwide freeze on the assets of another, which it believes to be a phoenix company of the first
FSA announces re-start of FSCS funding review
- Dentons
- -
- United Kingdom
- -
- October 7 2011
FSA has decided to relaunch its review of the Financial Services Compensation Scheme (FSCS) Funding Model, which originally began in 2009
FSA fines investment manager for client money breaches
- Dentons
- -
- United Kingdom
- -
- November 18 2011
FSA has fined McInroy & Wood Limited, a discretionary investment management firm, £15,050 for breaching FSA’s client money rules
FSA appoints Paul Stockton to FSCS board
- Dentons
- -
- United Kingdom
- -
- December 9 2011
FSA has appointed Paul Stockton as non-executive director of the Financial Services Compensation Scheme
FOS publishes plans and budget
- Dentons
- -
- United Kingdom
- -
- January 14 2011
FOS's plans and budget for the next year explain its plans and ask for comment by 21 February
Current Search
- Firm Name - Dentons
- Jurisdiction - United Kingdom
- Author - Matthew Hodgson
- Author - Josie Day