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Financial Regulatory Developments 24 April - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 24 2015

FCA has fined Merrill Lynch International £13,285,900 for transaction reporting failures. It found that over a seven-year period the firm incorrectly

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

  • Dentons
  • -
  • United Kingdom
  • -
  • April 10 2015

FCA's latest policy development update highlights, for the next quarter policy statements on: Fees and levies; Whistleblowing; outstanding issues on

Financial Regulatory Developments 2 April - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 2 2015

FCA has published its policy statement and its made rules arising from four consultation papers on Solvency 2. The changes, and made rules, cover

Financial Regulatory Developments 2 April - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • April 2 2015

The Commission Delegated Regulation on the information supervisors must provide to ESMA under the Alternative Investment Fund Managers Directive

Financial Regulatory Developments 2 April - HM Treasury (Treasury)

  • Dentons
  • -
  • United Kingdom
  • -
  • April 2 2015

Treasury has issued a Memorandum of Understanding (MOU) between BoE, FCA, PSR and PRA as required by the Banking Reform Act. The MoU describes the

MiFID, MiFID 2 where are you? We got some work to do now

  • Dentons
  • -
  • European Union
  • -
  • March 31 2015

The current Markets in Financial Instruments Directive has been replaced by a new Directive (Revised MiFID) and Regulation (MiFIR). This is the MiFID

Financial Regulatory Developments 27 March - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • March 27 2015

FCA has published a Discussion Paper to gauge views on how it might implement certain conduct of business (COB) and operational requirements of MiFID

Financial Regulatory Developments 27 March - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • March 27 2015

ESMA has published a call for evidence seeking views on the approach to disclosure for Structured Finance Instruments (SFIs) originated andor traded

Financial Regulatory Developments 20 March - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • March 20 2015

FCA has published a report into the current account switching service, which shows that, generally, it is working for consumers. The report found the

Financial Regulatory Developments 13 March - UK Financial Services and Markets Regulators

  • Dentons
  • -
  • United Kingdom
  • -
  • March 13 2015

FCA has published a thematic review and supporting papers that show consumers do not understand structured products. FCA carried out research that