We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 128

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

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

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

Treasury publishes AMLTF report

  • Dentons
  • -
  • United Kingdom
  • -
  • January 11 2013

Treasury has published its latest annual report on supervision and anti money-laundering (AML) and terrorist finance (TF) risks. It notes the UK and

FSA fines bank for AML correspondent banking failings

  • Dentons
  • -
  • United Kingdom
  • -
  • August 10 2012

FSA has issued its first fine relating to AML requirements and correspondent banking

FSA fines bank and MLRO for AML breaches

  • Dentons
  • -
  • United Kingdom
  • -
  • May 18 2012

FSA has fined Habib Bank AG Zurich (the Bank) £525,000 and its former Money Laundering Reporting Officer (MLRO) £17,500 for failure to have in place over a three-year period appropriate anti-money laundering (AML) systems and controls

FSA bans mortgage broker

  • Dentons
  • -
  • United Kingdom
  • -
  • May 22 2009

FSA has banned another mortgage broker for fraud

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

Financial Regulatory Developments 2 May - Serious Fraud Office (SFO)

  • Dentons
  • -
  • United Kingdom
  • -
  • May 2 2014

SFO has charged three former Barclays employees with conspiracy to defraud in connection with its investigation into LIBOR manipulation. It had

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