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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

Financial Regulatory Developments 10 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 10 2014

FCA has published details of its agreement with Wonga that requires Wonga to make significant changes to its business immediately. Wonga agreed to

Financial Regulatory Developments 3 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 3 2014

FCA has published a consultation paper setting out its approach to implementation of the Mortgage Credit Directive (MCD). Where possible, FCA will

Financial Regulatory Developments 3 October - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 3 2014

Mark Carney, BoE's governor, has addressed the Institute and Faculty of Actuaries on reforms to the insurance industry, including re-introduction of:

Financial Regulatory Developments 5 September - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • September 5 2014

FCA has fined Deutsche Bank £4,718,800 for incorrectly reporting transactions from the date of implementation of the Markets in Financial Instruments