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Financial Regulatory Developments 19 September - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • September 19 2014

FCA has published its thematic review of mobile banking and payments. This follows its interim findings which it published just over a year ago. The

Financial Regulatory Developments 26 September - British Bankers' Association (BBA)

  • Dentons
  • -
  • United Kingdom
  • -
  • September 26 2014

BBA has published a position paper setting out its views on the fourth Money Laundering Directive (MLD 4). It stresses its overall support for the

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

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

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

FCA fines Rabobank for LIBOR failings

  • Dentons
  • -
  • United Kingdom
  • -
  • November 1 2013

FCA has fined Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (Rabobank) £105 million for serious, prolonged and widespread misconduct

FSA bans mortgage broker

  • Dentons
  • -
  • United Kingdom
  • -
  • June 12 2009

FSA has banned Akin Johnson, a mortgage broker trading as Lifestyle Mortgages Islington for mortgage fraud prevention failures

FSA publishes investment bank ABC systems and controls review

  • Dentons
  • -
  • United Kingdom
  • -
  • March 16 2012

In its thematic review, FSA found a number of common weaknesses in the way investment banks implement effective anti-bribery and corruption systems and controls

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

FSA takes action against HSBC

  • Dentons
  • -
  • United Kingdom
  • -
  • December 14 2012

FSA has described the actions it plans to take in relation to HSBC’s AML and US sanctions failings