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Embedding accountability within the financial services sector

  • Taylor Wessing
  • -
  • United Kingdom
  • -
  • January 28 2015

While commending companies and signatories for improvements made during 2014, the FRC is sending out a strong message that it intends to stamp out

Simplified, retrospective and still inconsistent

  • RPC
  • -
  • United Kingdom
  • -
  • January 23 2015

Despite laudable aims, yesterday's FCA guidance on what constitutes regulated advice was published alongside a report on the (perceived

FCA CASS changes: 15 things left to do before June

  • Eversheds LLP
  • -
  • United Kingdom
  • -
  • January 20 2015

In June 2014, the Financial Conduct Authority (FCA) published its proposed changes to the bulk of the Client Assets module of the FCA Handbook of

This week at the UK regulators - 19 January 2015

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • January 19 2015

In a week without significant concluded enforcement action, the principal developments at the regulators have been the release of final rules in

Effective complaint handling - what are the likely changes arising out of the FCA thematic review and the new consultation paper?

  • Eversheds LLP
  • -
  • United Kingdom
  • -
  • January 15 2015

The FCA published the results of its Complaint Handling thematic review in November (the Review). A consultation paper on improving complaint

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

  • Dentons
  • -
  • United Kingdom
  • -
  • January 9 2015

Following Treasury's announcement on the creation of criminal offences relating to additional benchmarks, FCA is consulting on updating its current

Sponsors FCA issues first fine of sponsor

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • January 7 2015

You may have seen that, for the first time, the Financial Conduct Authority (FCA) has fined a sponsor for breach of the Listing Rules. Below is a

Financial services series 14 - annuities mis-selling: the new PPI?

  • Burges Salmon LLP
  • -
  • United Kingdom
  • -
  • December 29 2014

In this issue of FSS, we consider the Financial Conduct Authority's ("FCA") recently published report, 'Annuities sale practices - December 2014'

Financial Regulatory Developments 19 December - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 19 2014

FCA has published its market study on retirement income and thematic review into annuity sales practices where firms sell annuities to existing

December 2014 senior insurance managers regime - what does it mean for you?

  • Freshfields Bruckhaus Deringer LLP
  • -
  • United Kingdom
  • -
  • December 19 2014

On 26 November, the PRA and FCA published two consultation papers (CP 1426 and CP 1425) for a new senior insurance managers regime (SIMR) and