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Tough times, tough talk, tough regulator

RPC
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United Kingdom
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July 4 2012

At the FSA’s final Enforcement Conference on Monday, Tracy McDermott, the acting director of the FSA’s Enforcement and Financial Crime Division, issued a scathing attack on the financial services industry and gave an indication as to the interventionist future planned for the FSA’s successor, the FCA

Cable may tie down Goodwin, despite his eluding the FSA’s net; Turner and Sants call for smaller holes

RPC
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United Kingdom
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June 26 2012

In response to the October 2008 failure of RBS, news reports suggest that Vince Cable MP, Secretary of State for Business, Innovation and Skills, may apply for an order to disqualify Fred Goodwin from being able to hold any future directorship of a UK company

Not so credible deterrence

RPC
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United Kingdom
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April 26 2012

The FSA’s Enforcement Guide states that taking action against individuals sends an important message about the FSA’s regulatory objectives and priorities and the FSA considers that such cases have important deterrent values

Hector Sants’ resignation will throw finance sector into confusion

RPC
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United Kingdom
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March 16 2012

Hector Sants’ resignation this morning is surprising given that his remit was to deliver an orderly transition to the government’s new twin peaks regulatory structure

FRC plans to focus on disciplinary action

RPC
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United Kingdom
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March 8 2012

The FRC has published its Draft Plan & Budget for 201213

MoU between FCA and FOS: will complaints handling become more risky?

RPC
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United Kingdom
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February 29 2012

The FOS published a draft MoU with the future FCA that has blurred an already hazy line between the ombudsman and regulator

Causation the multi-billion pound question

RPC
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United Kingdom
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February 21 2012

The FSA’s £1.5m fine imposed on Santander UK plc yesterday raises again the question of whether causation should be required for firms in the financial services industry to be liable to their clients

FOS undeterred in its plans to publish firm names in Ombudsman decisions, despite concerns

RPC
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United Kingdom
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February 6 2012

The FOS has released a summary of responses to its September 2011 paper “publishing ombudsman decisions: next steps“ confirming its plan to publish all Ombudsman decisions

No more nodding NEDs - FSA to make non-execs consumer champions

RPC
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United Kingdom
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December 19 2011

NEDs (and their D&O insurers) will be increasingly exposed to regulatory risk because of the FSA’s new guidance

Making the punishment fit the crime

RPC
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United Kingdom
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December 6 2011

The FSA’s Final Notices are now littered with directors of financial services firms personally fined and made the subject of prohibition orders, not only for dishonesty but also for lacking competence and capability in the management of their businesses

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Search results

Tough times, tough talk, tough regulator

Cable may tie down Goodwin, despite his eluding the FSA’s net; Turner and Sants call for smaller holes

Not so credible deterrence

Hector Sants’ resignation will throw finance sector into confusion

FRC plans to focus on disciplinary action

MoU between FCA and FOS: will complaints handling become more risky?

Causation the multi-billion pound question

FOS undeterred in its plans to publish firm names in Ombudsman decisions, despite concerns

No more nodding NEDs - FSA to make non-execs consumer champions

Making the punishment fit the crime

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