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Results: 1-10 of 253

No ‘red tape challenge’ for financial services

  • RPC
  • -
  • United Kingdom
  • -
  • April 11 2011

The Government launched last week its Red Tape Challenge with no mention of financial services regulation

Pre-action disclosure refused in dispute between financial institutions

  • RPC
  • -
  • United Kingdom
  • -
  • May 31 2009

In Anglo Irish Corporation Plc (Anglo) v West LB AG1 (West) Anglo applied for preaction disclosure of some of West’s internal documents pursuant to CPR 31.16

FSA clamp-down on senior management

  • RPC
  • -
  • United Kingdom
  • -
  • July 9 2007

"The FSA holds senior management of regulated firms responsible for ensuring their firms are organised competently in order to meet their regulatory obligations."

FSA criminal prosecutions

  • RPC
  • -
  • United Kingdom
  • -
  • December 9 2009

While there is a focus on the nature of future financial services regulation, the FSA’s Enforcement Division continues to assiduously pursue enforcement cases

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

  • RPC
  • -
  • United Kingdom
  • -
  • 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

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

Guardian Care Homes v Barclays Bank Plc - LIBOR manipulation: update

  • RPC
  • -
  • United Kingdom
  • -
  • November 9 2012

Along with a number of other Claimants, Guardian Care Homes ("Guardian") is claiming approximately £38m from Barclays Bank PLC ("Barclays") in relation to a number of hedging transactions it was required to enter into with Barclays as a condition of Barclays providing certain loan facilities

Rubenstein v HSBC Bank Plc 2012

  • RPC
  • -
  • United Kingdom
  • -
  • March 1 2013

For banks, investment advisers, and their professional indemnity insurers, the Court of Appeal ruling in Rubenstein v HSBC has been eagerly

Implications for accountancy firms following the FSA’s decision to fine HSBC for data protection breaches

  • RPC
  • -
  • United Kingdom
  • -
  • August 5 2009

The FSA’s recent decision to fine HSBC for sending unencrypted personal data by post and for keeping personal paper files on site but not locked up could have consequences for FSA authorised accountants

Final responses by 1 June for complaints for over £100k

  • RPC
  • -
  • United Kingdom
  • -
  • May 25 2011

There is likely to be a small but not insignificant flurry of final responses sent before 1 June regarding high value complaints as firms try to avoid the likely increase in the FOS award limit from £100k to £150k which will apply from January 2012