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Financial Regulatory Developments 5 December - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 5 2014

PRA has issued guidance on applying for "CRR Permissions" to allow firms to use their own sensitivity positions for the purposes of the standardised

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

  • Dentons
  • -
  • United Kingdom
  • -
  • December 5 2014

FCA is consulting on its policy proposals for its 201516 fees and levies. The paper covers in particular:fees for the Payment Services Regulator

Treasury consults on AIFMD transposition

  • Dentons
  • -
  • United Kingdom
  • -
  • January 18 2013

Treasury is consulting on what changes it must make to UK legislation to implement the Alternative Investment Fund Managers Directive (AIFMD) in the

Financial Regulatory Developments 28 November - Bank of England (BoE)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 28 2014

In the wake of an outage of the Real-Time Gross Settlements (RTGS) system on 20 October BoE launched an independent review into the causes of the

FCA bans adviser for market abuse

  • Dentons
  • -
  • United Kingdom
  • -
  • November 22 2013

FCA has published a statement banning Rahul Shah from performing any function in relation to any regulated activity. Mr Shah, an investment adviser

Financial Regulatory Developments 21 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 21 2014

FCA has carried out further reviews on: how small banks manage money laundering and sanctions risks; and how insurance brokers manage bribery and

Financial Regulatory Developments 28 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 28 2014

FCA has published the results of its thematic review into conflicts of interest arising from wealth management and private banking firms’ use of

FSA publishes Prudential Risk Outlook

  • Dentons
  • -
  • United Kingdom
  • -
  • March 25 2011

FSA has published its Prudential Risk Outlook (PRO), which complements the Retail Conduct Risk Outlook (see FReD 4 March 2011) and FSA's Business Plan

BoE publishes new NIPS code

  • Dentons
  • -
  • United Kingdom
  • -
  • November 18 2011

BoE has published a new Non-Investment Products Code for principals and broking firms in the wholesale markets

Financial Regulatory Developments 28 November - Legislation

  • Dentons
  • -
  • United Kingdom
  • -
  • November 28 2014

Treasury has extended the "sunset clauses", which provide a wider definition of market abuse in the UK than the scope of the current Market Abuse