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Results: 1-10 of 131

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

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

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

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

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 - 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 6 June - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • June 6 2014

FCA has set up a page on its website reminding firms of their obligations in relation to the prevention of financial crime, specifically money

Financial Regulatory Developments 9 May - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • May 9 2014

FCA has created a set of pages on its website providing information on the revised Markets in Financial Instruments Directive and Regulation package

Financial Regulatory Developments 23 May - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • May 23 2014

FCA has carried out a review of consumer credit advertising and has told firms to raise their standards. It surveyed a sample of advertisements and