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Results: 1-10 of 116

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

FCA fines Rabobank for LIBOR failings

  • Dentons
  • -
  • United Kingdom
  • -
  • November 1 2013

FCA has fined Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (Rabobank) £105 million for serious, prolonged and widespread misconduct

FCA fines and bans for market abuse

  • Dentons
  • -
  • United Kingdom
  • -
  • August 16 2013

FCA has published two final notices and one decision relating to market abuse carried out by a Dubai-based investor, on whom the Financial Services

FSA gets conviction of two insider dealers

  • Dentons
  • -
  • United Kingdom
  • -
  • March 15 2013

In two different cases, the Southwark Crown Court has endorsed the claims brought by FSA against two traders for insider dealing. (Source: Equities

FSA continues crackdown on insider dealing

  • Dentons
  • -
  • United Kingdom
  • -
  • March 1 2013

Three men have been arrested in connection with an FSA investigation into insider dealing and market abuse. None of them has yet been charged