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Financial Conduct Authority enforcement performance

  • McGuireWoods LLP
  • -
  • United Kingdom
  • -
  • October 29 2014

NERA Economic Consulting has recently published an analysis of the penalties imposed by the UK financial regulator since April 2012. The startling

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

With-profits insurance business PRA and FCA approach papers

  • Norton Rose Fulbright LLP
  • -
  • United Kingdom
  • -
  • October 16 2014

On October 14, the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) simultaneously published papers on their respective

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