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Financial Regulatory Developments 20 June - HM Treasury (Treasury)

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

In this year's Mansion House speech, key announcements were: the Fair and Effective Markets Review, a comprehensive review of standards in the fixed

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 9 May - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • May 9 2014

FCA has created a set of pages on its website providing information on the revised Markets in Financial Instruments Directive and Regulation package

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

Financial Regulatory Developments 4 April - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 4 2014

George Osborne has made clear the Government's concerns that FCA briefed a single journalist on its proposed work in the insurance sector, which led

Financial Regulatory Developments 28 March - Financial Conduct Authority (FCA)

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

FCA has published a thematic review looking at whether firms that describe their services as "independent" under the post-Retail Distribution Review

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

Financial Regulatory Developments 3rd January - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 3 2014

FCA has fined JLT Specialty Limited £1,876,000 for failing to have in place appropriate checks and controls to guard against the risk of bribery or

Financial Regulatory Developments 20th December - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 20 2013

Treasury has renewed designations under the Terrorist Asset Freezing etc Act. It has also updated the sanctions lists in relation to Al-Qaida and

FCA gets worldwide freezing order

  • Dentons
  • -
  • United Kingdom
  • -
  • November 22 2013

FCA has obtained an unlimited worldwide freezing order to stop a suspected boiler room, First Capital Wealth Limited, from putting consumers at risk