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

  • Dentons
  • -
  • United Kingdom
  • -
  • September 12 2014

FCA has published its conclusions from its latest review on how non-financial counterparties (NFCs) calculate the clearing threshold for the purposes

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

  • Dentons
  • -
  • United Kingdom
  • -
  • September 12 2014

PRA has published its supervisory statement setting out its approach to supervising the UK branches of banks based outside the European Economic Area

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

  • Dentons
  • -
  • United Kingdom
  • -
  • September 5 2014

FCA has fined Deutsche Bank £4,718,800 for incorrectly reporting transactions from the date of implementation of the Markets in Financial Instruments

Financial Regulatory Developments 1 August - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • August 1 2014

Following Treasury's consultation on implementation of the Bank Recovery and Resolution Directive (BRRD) (see FReD 25 July), PRA has now published

IMA responds on AIFMD implementation

  • Dentons
  • -
  • United Kingdom
  • -
  • May 18 2012

IMA has submitted its response to the Treasury on the implementation of Level 1 of AIFMD (Alternative Investment Fund Managers Directive

Financial Regulatory Developments 8 August - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • August 8 2014

FCA has published its consultation paper on implementing the Bank Recovery and Resolution Directive (BRRD) into its rules. Treasury and PRA have

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

FSA facilitates transition to Solvency 2 with ICAS

  • Dentons
  • -
  • United Kingdom
  • -
  • February 8 2013

FSA has published guidance to firms setting out how firms can use their preparatory work for Solvency 2 to meet the current Individual Capital

Luxembourg refuses application

  • Dentons
  • -
  • Luxembourg, United Kingdom
  • -
  • September 2 2011

The Luxembourg regulator has announced its refusal to grant a licence to ARM Asset Backed Securities SA (ARM

Financial Regulatory Developments 18 July - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • July 18 2014

FCA has published a review of how firms use dealing commission. It found too few firms properly consider the added value and cost of research paid