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This week at the UK regulators - 7 May 2013

Clifford Chance LLP
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United Kingdom
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May 7 2013

The FCA has remained active on all fronts during the past week. It has charged more individuals in connection with criminal investigations into

International regulatory update 24-28 January 2011

Clifford Chance LLP
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European Union, Hong Kong, United Kingdom, USA
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January 31 2011

French President Nicolas Sarkozy has given a speech launching France's presidency of the G20 and G8 and setting out its priorities for 2011

FA update - 14 January 2013

Clifford Chance LLP
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United Kingdom
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January 14 2013

In Final Notices dated 19 December 2012 (released on 11 January 2013), The FSA has imposed a financial Penalty on Baronworth (Investment Services

Corporate update: impact of the Financial Services Act 2012

Clifford Chance LLP
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United Kingdom
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March 20 2013

From 1 April 2013 a new financial regulation framework will be operative in the UK. The Financial Services Authority (FSA) is being replaced by the

A year-end retrospective on suitability: back to basics

Clifford Chance LLP
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United Kingdom
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December 23 2011

Looking back at 2011, no one would deny that the Financial Services Authority has made significant inroads in delivering on its promise to intervene in retail (including wealth management) markets to prevent consumer detriment and secure redress for consumers

This week at the regulators - 8 April 2013

Clifford Chance LLP
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United Kingdom
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April 8 2013

On 1 April, the long awaited separation of the FSA into the new Financial Conduct Authority ("FCA") and Prudential Regulation Authority ("PRA") took

Protecting client assets: regulatory changes gather steam

Clifford Chance LLP
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United Kingdom
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November 9 2010

The financial crisis highlighted the importance of protecting client assets in the event of a firm’s insolvency

Remuneration reform in the financial services sector: new disclosure rules

Clifford Chance LLP
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United Kingdom
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November 15 2010

The disclosure of remuneration practices has been under discussion by regulators and industry bodies for some time

FSA update - 15 November 2010

Clifford Chance LLP
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United Kingdom
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November 16 2010

The FSA has published Policy Statement PS1017: "Taping of mobile phones - Feedback on CP107 and final rules"

FSA update

Clifford Chance LLP
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United Kingdom
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November 8 2010

The FSA has fined Bridging Loans Ltd £42,000 for serious failures relating to lending practices and for unfair treatment of customers in arrears, in breach of Principles 3 (Management and control), 6 (Customers' interests) and 11 (Relations with regulators) of the FSA's Principles for Businesses

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