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Results: 1-10 of 1,377

Financial Regulatory Developments 23 January - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 23 2015

PRA has published a policy statement with final rules on its consultation on implementing the BRRD, together with supervisory statements on recovery

Financial Regulatory Developments 23 January - Cases

  • Dentons
  • -
  • United Kingdom
  • -
  • January 23 2015

The Supreme Court has granted leave to appeal from the Court of Appeal's decision on Asset Land Investment Plc and another v. FCA 2014 EWCA Civ 435

Financial Regulatory Developments 30 January - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 30 2015

FCA has published a response to its guidance consultation on retail investment advice, which was open from July to October 2014, and its finalised

Financial Regulatory Developments 30 January - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 30 2015

PRA is consulting on how it should implement the Solvency 2 transitional measures for risk-free rates and technical provisions. It has published for

Financial Regulatory Developments 23 January - Legislation

  • Dentons
  • -
  • United Kingdom
  • -
  • January 23 2015

Treasury has published a draft statutory instrument addressing how ring-fenced bodies should deal with pensions. Among other things, it requires that

Financial Regulatory Developments 16 January - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 16 2015

FCA has updated alternative investment fund managers (AIFMs) on problems it is experiencing with its reporting system which means many AIFMs are

Financial Regulatory Developments 9 January - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 9 2015

Following Treasury's announcement on the creation of criminal offences relating to additional benchmarks, FCA is consulting on updating its current

Financial Regulatory Developments 30 January - department for Energy and Climate Change (DECC)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 30 2015

DECC has published a summary of the responses it received to proposals to create new criminal offences for energy market manipulation and insider

FSA speaks on transaction monitoring

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

Patrick Spens, head of Market Monitoring at FSA, has addressed firms on their transaction monitoring obligations. In December FSA sent a letter to

Financial Regulatory Developments 17 April - Upper Tribunal (Tribunal)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 17 2014

The Tribunal has backed FCA's decision to fine Amir Khan £80,000 for various dishonest activities relating to mortgage applications. FCA also banned