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Results: 1-10 of 17

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

  • Dentons
  • -
  • United Kingdom
  • -
  • February 7 2014

FCA has published a policy statement confirming its new rules which: ban new referral payments from a discretionary investment manager (DIM) to an

Treasury issues terrorist financing notification

  • Dentons
  • -
  • United Kingdom
  • -
  • July 29 2011

Treasury has issued a notification in respect of restrictive measures imposed by the EU against certain persons and entities with a view to combating terrorism

FSA gets 77,000 for Monobank victims

  • Dentons
  • -
  • United Kingdom
  • -
  • February 24 2012

FSA has obtained a court order against Monobank Plc (Monobank) which will allow around 77,000 of redress to be paid to victims of a boiler room scam

FSA suspends CPP Group listing

  • Dentons
  • -
  • United Kingdom
  • -
  • February 24 2012

CPP Group PLC (CPP) announced the suspension of the listing of its shares, following discussions with FSA about its card protection and identity protection products

Financial Regulatory Developments 20 June - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • June 20 2014

FCA has fined Credit Suisse International (CSI) £2,398,100 and Yorkshire Building Society (YBS) £1,429,000 for failures in financial promotions

Financial Regulatory Developments 28 March - Financial Ombudsman Service (FOS)

  • Dentons
  • -
  • United Kingdom
  • -
  • March 28 2014

FOS's latest newsletter focuses on "disputed transactions". FOS receives many complaints involving fraud or suspected fraud, where consumers claim a

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

  • Dentons
  • -
  • United Kingdom
  • -
  • June 6 2014

FCA has set up a page on its website reminding firms of their obligations in relation to the prevention of financial crime, specifically money

Financial Regulatory Developments 23 May - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • May 23 2014

FCA has carried out a review of consumer credit advertising and has told firms to raise their standards. It surveyed a sample of advertisements and

Financial Regulatory Developments 23 May - Upper Tribunal (Tribunal)

  • Dentons
  • -
  • United Kingdom
  • -
  • May 23 2014

The Tribunal has agreed with FCA's decision to ban Ghanshyam Batra from any function in relation to regulated activities. Mr Batra had provided false

Financial Regulatory Developments 17 April - Upper Tribunal (Tribunal)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 17 2014

The Tribunal has backed FCA's decision to fine Amir Khan £80,000 for various dishonest activities relating to mortgage applications. FCA also banned