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Results: 1-10 of 35

This week at the UK regulators - 2 September 2014

  • Clifford Chance LLP
  • -
  • India, United Kingdom, USA
  • -
  • September 2 2014

In two separate well publicised cases, the FCA last week imposed financial penalties of over £20 million in respect of mortgage advice and

This week at the UK regulators - 11 August 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • August 11 2014

In the only publicised concluded enforcement case last week, the FCA imposed a penalty of almost £8.4 million on an insurance firm for failings

This week at the UK regulators - 29 July 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • July 29 2014

The principal enforcement developments last week were the use by the FCA for the first time of its power to impose Restrictions in action against two

This week at the UK regulators - 21 July 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • July 21 2014

In a week without concluded enforcement cases, the main development has been the publication of studies conducted by the FCA and the Competition and

This week at the UK regulators - 23 June 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • June 23 2014

Aside from fines imposed on two firms for issues in relation to historic financial promotions in connection with investment products, the most

International regulatory update - 6 9 May 2014

  • Clifford Chance LLP
  • -
  • European Union, Germany, Indonesia, Switzerland, United Kingdom
  • -
  • May 13 2014

The EU Council has formally adopted the Recovery and Resolution Directive (RRD). The Directive provides national authorities with tools to pre-empt

This week at the UK regulators - 14 April 2014

  • Clifford Chance LLP
  • -
  • United Kingdom, USA
  • -
  • April 14 2014

This week has seen mainstream coverage of the FCA non-executive directors' decision to appoint Clifford Chance's Simon Davis to lead the independent

This week at the UK regulators - 2 April 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • April 2 2014

In a busy week of enforcement activity and public pronouncements, the FCA has imposed a financial penalty on a bank for historic breaches in relation

This week at the UK regulators - 24 March 2014

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • March 24 2014

In its first market abuse case concerning the gilts market, the FCA has imposed a fine of over £662,000 on a former bond trader for unsuccessful

International regulatory update -10 14 March 2014

  • Clifford Chance LLP
  • -
  • European Union, Germany, Hong Kong, Netherlands, United Kingdom
  • -
  • March 18 2014

The EU Commission has adopted a package of Regulatory Technical Standards (RTS) needed to implement provisions of the Capital Requirements Regulation