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Results: 1-10 of 38

This week at the UK regulators - 29 September 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • September 29 2014

This week the FCA imposed a fine on Barclays Bank Plc of £37.7 million for failing properly to protect clients' custody assets, and the SEC awarded

International regulatory update 24-28 January 2011

  • Clifford Chance LLP
  • -
  • European Union, Hong Kong, United Kingdom, USA
  • -
  • 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

FSA update - 21 January 2013

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • January 21 2013

The FSA has (on 15 January) Imposed a financial penalty of £212,237 on Harbinder Panesar and Banned him from the financial Services industry. It has

International regulatory update -10 14 March 2014

  • Clifford Chance LLP
  • -
  • European Union, Germany, Hong Kong, Netherlands, United Kingdom
  • -
  • March 18 2014

The EU Commission has adopted a package of Regulatory Technical Standards (RTS) needed to implement provisions of the Capital Requirements Regulation

This week at the UK regulators - 23 June 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • June 23 2014

Aside from fines imposed on two firms for issues in relation to historic financial promotions in connection with investment products, the most

This week at the UK regulators - 29 July 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • July 29 2014

The principal enforcement developments last week were the use by the FCA for the first time of its power to impose Restrictions in action against two

The FCA 6 months on and the inexorable rise of the Thematic Review

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • October 30 2013

The FCA celebrated its first six months as a regulator on 1st October 2013 a suitable time to review some of the key emerging themes. One clear

This week at the UK regulators - 6 January 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • January 6 2014

The FCA has remained relatively active over the festive period, imposing a penalty of over £1.8 million on an insurance Brokerage firm for failings

FSA update - 28 February 2011

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • February 28 2011

The FSA has fined DB Mortgages £840,000 for irresponsible lending practices and unfair treatment of customers in arrears

FA update - 14 January 2013

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • 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