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 1,342

Financial Regulatory Developments 17 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 17 2014

FCA has banned the managing and finance directors of Pritchard Stockbrokers Limited for client money failings. The firm was censured. FCA would have

Financial Regulatory Developments 10 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 10 2014

FCA has published details of its agreement with Wonga that requires Wonga to make significant changes to its business immediately. Wonga agreed to

Old laws, new models: UK regulation of FinTech

  • Taylor Wessing
  • -
  • United Kingdom
  • -
  • October 6 2014

Determining whether and how financial services regulation applies to your business may not be top of your list in the early stages but it is a

Financial Regulatory Developments 3 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 3 2014

FCA has published a consultation paper setting out its approach to implementation of the Mortgage Credit Directive (MCD). Where possible, FCA will

Financial Regulatory Developments 3 October - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 3 2014

Mark Carney, BoE's governor, has addressed the Institute and Faculty of Actuaries on reforms to the insurance industry, including re-introduction of:

The year to review your whistleblowing policy

  • Dechert LLP
  • -
  • United Kingdom
  • -
  • September 29 2014

This year, the UK Financial Conduct Authority (FCA) has placed an increased emphasis on whistleblowing activity, both in relation to whistleblowing

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

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

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

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