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Results: 1-10 of 133

Financial Regulatory Developments 17 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 17 2014

FCA has banned the managing and finance directors of Pritchard Stockbrokers Limited for client money failings. The firm was censured. FCA would have

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

FCA publishes annual AML report

  • Dentons
  • -
  • United Kingdom
  • -
  • August 2 2013

FCA has published its 20122013 annual AML report. The report summarises enforcement action and the findings of the thematic reviews of banks'

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

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

Financial Regulatory Developments 20 June - HM Treasury (Treasury)

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

In this year's Mansion House speech, key announcements were: the Fair and Effective Markets Review, a comprehensive review of standards in the fixed

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

Court backs Mellat order

  • Dentons
  • -
  • United Kingdom
  • -
  • June 18 2010

The court has found the order made by Treasury under the Counter-Terrorism Act 2008 to direct all persons operating in the UK financial sector not to deal with Bank Mellat was procedurally and substantively lawful

Government sets out changes to MLR

  • Dentons
  • -
  • United Kingdom
  • -
  • July 20 2012

Treasury has published the Government’s feedback on the responses to the consultation on improving the Money Laundering Regulations 2007 (MLR