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Financial crime controls

  • Dentons
  • -
  • United Kingdom
  • -
  • November 19 2014

In November 2014, FCA published the results of two thematic reviews into how firms manage their financial crime risks, together with proposed

Financial Regulatory Developments 14 November - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 14 2014

Treasury has accepted the recommendations of the Financial Policy Committee (FPC) of BoE and is consulting, until 28 November, on granting the FPC a

The long arm of FSA

  • Dentons
  • -
  • United Kingdom
  • -
  • August 8 2012

Recent actions by FSA against firms with overseas head offices, and approved persons working in those firms, should sound warning bells to all FSA-authorised firms with an international client base for whom a UK presence serves greater global needs

Iniquity exception to privilege JSC BTA Bank v Ablyazov

  • Dentons
  • -
  • United Kingdom
  • -
  • August 27 2014

This judgment considers the iniquity exception to legal professional privilege and the point at which a client conducts himself so dishonestly that

Consumer credit FCA publishes final detailed rules 2014 march

  • Dentons
  • -
  • United Kingdom
  • -
  • March 3 2014

The UK Financial Conduct Authority has published its feedback statement and final form rules on the detailed CC regulatory regime that takes effect

Anti-money laundering - the industry speaks

  • Dentons
  • -
  • United Kingdom
  • -
  • April 20 2010

The past six months have seen considerable regulatory activity on money laundering prevention

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 sets priorities for combating financial crime in 2013

  • Dentons
  • -
  • United Kingdom
  • -
  • November 23 2012

Tracey McDermott, FSA’s director of the Enforcement and Financial Crime Division, has spoken on FSA’s work, regulatory reform and expectations from firms in the field of combating financial crime

FCA fines again for AML breaches

  • Dentons
  • -
  • United Kingdom
  • -
  • August 16 2013

FCA has fined Guaranty Trust Bank (UK) Limited £525,000 for failings in anti-money laundering (AML) systems and controls. It visited the bank, a

OFT consults on AML supervision

  • Dentons
  • -
  • United Kingdom
  • -
  • February 12 2010

OFT is consulting on its future supervisory approach to AML supervision