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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

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

Complying with sanctions laws: JMLSG takes action

  • Dentons
  • -
  • United Kingdom
  • -
  • June 21 2010

Regulators are keeping up the pressure on financial institutions to comply with all anti-financial crime laws

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

Financial Regulatory Developments 23 May - Upper Tribunal (Tribunal)

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

The Tribunal has agreed with FCA's decision to ban Ghanshyam Batra from any function in relation to regulated activities. Mr Batra had provided false

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

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

FSA publishes ABC and fraud prevention finalised guidance

  • Dentons
  • -
  • United Kingdom
  • -
  • November 9 2012

FSA has published summaries of the feedback it received to its proposals to amend FC in respect of anti-bribery and corruption (ABC) systems and controls, and banks' defences against investment fraud

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