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Results: 1-10 of 1,762

This week at the UK regulators - 7 May 2013

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • May 7 2013

The FCA has remained active on all fronts during the past week. It has charged more individuals in connection with criminal investigations into

FCA update on its status disclosure rules

  • RPC
  • -
  • United Kingdom
  • -
  • May 14 2013

On 1 May 2013, the Financial Conduct Authority (FCA) published a press release to clarify the 12 month transitional period for authorised firms to

The regulation of introducers: Article 25 of the Regulated Activities Order

  • Nabarro LLP
  • -
  • United Kingdom
  • -
  • April 30 2010

We are often asked whether a person or company needs to be FSA-authorised when they provide an "introducing"-based financial service

Director of supervision for the FCA delivers speech on theimportance of culture as the driving behaviour of firms and how the FCA will assess this

  • Mayer Brown LLP
  • -
  • United Kingdom
  • -
  • May 9 2013

In his speech at the UK Professionals Conference, Adamson highlighted 'culture' as underpinning the problem faced by firms and as the key attribute

Financial services and marketsa perfect litigation storm?

  • Jones Day
  • -
  • United Kingdom
  • -
  • May 13 2013

For companies operating in the UK financial services sector, recent regulatory reform, greater access to justice and developments in collective

FOS consults on VJ extension

  • Dentons
  • -
  • United Kingdom
  • -
  • May 10 2013

FOS is consulting on extending the scope of its voluntary jurisdiction (VJ). The territorial scope of the VJ is wider than that of the compulsory

The FSA’s retail distribution review its impact on investment fund managers

  • Dechert LLP
  • -
  • United Kingdom
  • -
  • November 28 2012

The FSA’s Retail Distribution Review (“RDR”) will come into effect on 31 December 2012

The FSA's new UK liquidity regime

  • Reed Smith LLP
  • -
  • United Kingdom
  • -
  • October 9 2009

On 5 October the Financial Services Authority (FSA) became the first major regulator on the world stage to publish a tough, new liquidity regime, which will come into force on 1 December 2009

FSA becomes FCA and PRA

  • A&L Goodbody
  • -
  • United Kingdom
  • -
  • April 16 2013

In the UK, changes have been made to the regulation of financial services. These changes include separating the regulation of prudential and conduct

New PRA and FCA regimes for approved persons

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • October 11 2012

The FSA has published a consultation paper on the PRA and FCA regimes for approved persons (CP 1226

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