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Financial Regulatory Developments 12 December - Financial Ombudsman Service (FOS)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 12 2014

The latest edition of "Ombudsman News" focuses on complaints and issues that either most commonly arise or have a greater impact during the festive

Financial Regulatory Developments 12 December - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 12 2014

FCA has published a new page on its website explaining the 317 new validations it and PRA will activate in respect of reporting under CRD 4 on 17

Financial Regulatory Developments 5 December - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 5 2014

PRA has issued guidance on applying for "CRR Permissions" to allow firms to use their own sensitivity positions for the purposes of the standardised

Financial Regulatory Developments 28 November - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 28 2014

PRA and FCA are each consulting on proposals for changes to individual accountability for insurers. PRA is consulting on a Senior Insurance Managers

Financial Regulatory Developments 21 November - Parliament

  • Dentons
  • -
  • United Kingdom
  • -
  • November 21 2014

The Treasury Committee has published a report on progress in implementing the recommendations of the Parliamentary Commission on Banking Standards

Financial Regulatory Developments 21 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 21 2014

FCA has carried out further reviews on: how small banks manage money laundering and sanctions risks; and how insurance brokers manage bribery and

Financial crime controls

  • Dentons
  • -
  • United Kingdom
  • -
  • November 19 2014

In November 2014, FCA published the results of two thematic reviews into how firms manage their financial crime risks, together with proposed

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

Financial Regulatory Developments 24 October - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 24 2014

Andrew Bailey's speech at the City Banquet struck a note of cautious optimism for financial markets and regulation, after 18 months of regulation

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