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Deal or no deal: FOS recommends taking legal advice following Clark v In Focus

  • RPC
  • -
  • United Kingdom
  • -
  • March 13 2014

Reacting to the decision in Clark v In Focus, FOS has updated its technical notes to help guide complainants who might have previously sought to top

The FCA’s thematic review into broker conflicts

  • RPC
  • -
  • United Kingdom
  • -
  • August 12 2013

Over the last few weeks we have conducted client seminars, workshops and one-to-ones on the Financial Conduct Authority’s (FCA’s) forthcoming thematic

FCA update on its status disclosure rules

  • RPC
  • -
  • United Kingdom
  • -
  • May 14 2013

On 1 May 2013, the Financial Conduct Authority (FCA) published a press release to clarify the 12 month transitional period for authorised firms to

Tough times, tough talk, tough regulator

  • RPC
  • -
  • United Kingdom
  • -
  • 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
  • -
  • United Kingdom
  • -
  • 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
  • -
  • United Kingdom
  • -
  • 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
  • -
  • United Kingdom
  • -
  • 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
  • -
  • United Kingdom
  • -
  • 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
  • -
  • United Kingdom
  • -
  • 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
  • -
  • United Kingdom
  • -
  • 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