We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 1,335

The FCA’s approach to supervision - what’s new and what’s not

  • Eversheds LLP
  • -
  • United Kingdom
  • -
  • September 26 2014

In March 2014, the FCA published its new guides to supervising authorised firms. These guides are a useful tool for senior managers and compliance

Is no news always good news? Drop in complaints may hint at conclusions from over-due FCA complaints review

  • RPC
  • -
  • United Kingdom
  • -
  • September 26 2014

The FCA's latest publication of complaints data has revealed a decrease of 5 in the overall number of complaints. Firms will be pleased about the

Financial Regulatory Developments 5 September - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • September 5 2014

FCA has fined Deutsche Bank £4,718,800 for incorrectly reporting transactions from the date of implementation of the Markets in Financial Instruments

The financial report September 4, 2014 - news from Europe

  • DLA Piper LLP
  • -
  • European Union, United Kingdom
  • -
  • September 4 2014

Bloomberg outlined the upcoming milestones in the European Union’s efforts to forge a banking union. (8282014) Milestones. The UK Financial Conduct

This week at the UK regulators - 2 September 2014

  • Clifford Chance LLP
  • -
  • India, United Kingdom, USA
  • -
  • September 2 2014

In two separate well publicised cases, the FCA last week imposed financial penalties of over £20 million in respect of mortgage advice and

A final call for compliance!

  • Mills & Reeve LLP
  • -
  • United Kingdom
  • -
  • August 20 2014

In April 2014 the Financial Conduct Authority (FCA) published the second stage of its review of the implementation of the Retail Distribution Review

Technology outsourcing and UK financial services regulation

  • Morrison & Foerster LLP
  • -
  • United Kingdom
  • -
  • August 12 2014

The UK financial services regulator, the Financial Conduct Authority, has published a new list of considerations for regulated financial services

This week at the UK regulators - 11 August 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • August 11 2014

In the only publicised concluded enforcement case last week, the FCA imposed a penalty of almost £8.4 million on an insurance firm for failings

Financial Regulatory Developments 1 August - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • August 1 2014

FCA has fined Lloyds Bank and Bank of Scotland (BoS) £105 million for failings relating to LIBOR and other benchmarks. The fines cover: £70 million

Financial Regulatory Developments 1 August - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • August 1 2014

Following Treasury's consultation on implementation of the Bank Recovery and Resolution Directive (BRRD) (see FReD 25 July), PRA has now published