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FCA requirement for legal entity identifiers

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • November 14 2014

On November 7, the UK Financial Conduct Authority (FCA) has confirmed that it will require all financial institutions conducting business in or from

International regulatory update - 3 7 November 2014

  • Clifford Chance LLP
  • -
  • Belgium, European Union, Germany, Italy, Japan, Poland, Saudi Arabia, Singapore, South Korea, United Kingdom
  • -
  • November 10 2014

The new EU Commissioner for Financial Stability, Financial Services and Capital Markets Union, Jonathan Hill, has delivered a speech to open the

Ban on several financial products distributed to retail clients in Belgium

  • CMS DeBacker
  • -
  • United Kingdom
  • -
  • November 7 2014

The Financial Services and Markets Authority ("FSMA") has recently adopted a ban on the distribution of certain financial products to retail clients

Financial Regulatory Developments 7 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 7 2014

FCA has launched a consultation on a proposed charge cap on auto-enrolment funds and banning certain charging practices in relation to contract-based

International regulatory update - 20 24 October 2014

  • Clifford Chance LLP
  • -
  • European Union, Hong Kong, Russia, South Africa, South Korea, Ukraine, United Kingdom, USA, Vietnam
  • -
  • October 31 2014

The EU Commission has adopted a delegated act on the calculation of banks’ contributions to national resolution funds in all 28 EU Member States under

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