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 127

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

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

BBA responds on FSA ABC guidance

  • Dentons
  • -
  • United Kingdom
  • -
  • May 11 2012

BBA has responded to FSA’s consultation on amending the chapter in its Financial Crime Guide addressing the risks of bribery and corruption (ABC

Financial Regulatory Developments 9 May - British Bankers' Association (BBA)

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

BBA has published guidance to banks on compliance with the Bribery Act (UKBA) and meeting FCA's expectations in respect of prevention of bribery 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 gets sentence for boiler room fraud launderer

  • Dentons
  • -
  • United Kingdom
  • -
  • May 4 2012

FSA has secured a jail sentence for Michael McInerney, who was found to have acted as banker for fraudulent share sales

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

What’s up next? Keeping up with regulatory change

  • Dentons
  • -
  • European Union, Global, United Kingdom
  • -
  • November 15 2011

It seems that regulatory changes are hitting banks from every direction at the moment, and there is no sign of any let-up

Financial Regulatory Developments 31 January - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 31 2014

In the latest fine against banks for systems and controls failings in anti-money laundering (AML) procedures, FCA has fined Standard Bank PLC £7,640