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Results: 1-10 of 1,306

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

Financial Regulatory Developments 18 July - Legislation

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

Various legislation made under the Banking Act 2009 relating to the application of the Special Resolution Regime to investment firms takes effect on

Financial Regulatory Developments 18 July - Bank of England (BoE)

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

BoE is consulting on the Financial Policy Committee (FPC) use of the leverage ratio. The proposed capital requirement framework for banks including a

Financial Regulatory Developments 18 July - Parliament

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

The House of Lords has launched an inquiry into the EU financial regulatory framework, and more specifically on issues such as the effectiveness of

FSA speaks on MiFID 2

  • Dentons
  • -
  • United Kingdom
  • -
  • February 3 2012

David Lawton gave a high-level overview of the framework FSA wants to see the revised Markets in Financial Instruments Directive and Regulation (MiFID 2) achieve in respect of market integrity, stability and enhanced transparency

Financial Regulatory Developments 11 July - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • July 11 2014

FCA has published its policy statement on regulated fees and levies for 201415. Responses to the consultation expressed some strong views: almost

Financial Regulatory Developments 6 June - Financial Markets Law Committee (FMLC)

  • Dentons
  • -
  • United Kingdom
  • -
  • June 6 2014

FMLC has published two letters: The first letter, to the European Commission, welcomes efforts by the Commission and ESMA to provide clarity and

Financial Regulatory Developments 20 June - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • June 20 2014

FCA has fined Credit Suisse International (CSI) £2,398,100 and Yorkshire Building Society (YBS) £1,429,000 for failures in financial promotions

IMA comments on AIFMD Level 2

  • Dentons
  • -
  • United Kingdom
  • -
  • May 27 2011

IMA's response to ESMA highlights concerns stemming from the uncertainty as to how many Alternative Investment Funds there will be and suggests some things are matters best left to national regulators

Financial Regulatory Developments 4 April - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 4 2014

FCA took over the regulation of firms that provide consumer credit and related activities on 1 April. It noted 9 million people are in serious debt