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Results: 1-10 of 1,376

FCA a new strategic approach

  • Hogan Lovells
  • -
  • United Kingdom
  • -
  • February 26 2015

Following a review of its strategy, priorities and ways of working, which was completed in late 2014, the FCA released a paper detailing the way in

Senior managers regime and employment law implications where are we now?

  • Mayer Brown LLP
  • -
  • United Kingdom
  • -
  • February 25 2015

With the consultation on transitional arrangements for the introduction of the senior managers and certification regimes due to close on 27 February

This week at the UK regulators - 23 February 2015

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • February 23 2015

The most important development this week has been the release of a consultation paper bringing greater clarity to several important aspects of the

Financial Regulatory Developments 13 February - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • February 13 2015

FCA has announced three new Chairs for its independent Practitioner Panels. The appointments come into effect from 1 April. The new Chairs are: FCA

Financial Regulatory Developments 6 February - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • February 6 2015

FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees (IGCs). IGCs will represent the interests

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