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Financial Regulatory Developments 5 December - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • December 5 2014

FCA is consulting on its policy proposals for its 201516 fees and levies. The paper covers in particular:fees for the Payment Services Regulator

Financial Regulatory Developments 5 December - Council of the European Union (Council)

  • Dentons
  • -
  • European Union
  • -
  • December 5 2014

The Presidency has published its compromise response to the proposal for a Regulation on money market funds (MMFs). It has proposed significant

Life under dual-regulation: how banks should adapt to the PRA

  • Dentons
  • -
  • United Kingdom
  • -
  • March 25 2013

The Financial Services Act 2012 (FS Act) received Royal Assent just before Christmas 2012 and will, for the most part, take effect on 1 April 2013

Financial Regulatory Developments 31 October - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • October 31 2014

FCA has published its decision to fine Paul Reynolds £290,344 and ban him from the industry because it believes he lacks integrity. It found that

Financial Regulatory Developments 29 August - European Supervisory Authorities (ESAs)

  • Dentons
  • -
  • European Union
  • -
  • August 29 2014

The Joint Committee of the ESAs has published the translations of the guidelines for complaints-handling for the securities and banking sectors. They

UK financial sanctions: the regime and the regulator

  • Dentons
  • -
  • United Kingdom
  • -
  • June 12 2009

Compliance with financial sanctions has made its way up the UK financial regulatory agenda

IOSCO lists MMoU non-signatories

  • Dentons
  • -
  • Global
  • -
  • March 8 2013

IOSCO has published a list of members who have not yet signed its Multilateral Memorandum of Understanding (MMoU) on consultation and cooperation

Financial Regulatory Developments 17 October - European Supervisory Authorities (ESAS)

  • Dentons
  • -
  • European Union
  • -
  • October 17 2014

ESMA, EBA and EIOPA have published their joint Work Programme for 2015. The programme focuses on: consumer protection: this will include work on

Financial Regulatory Developments 31 October - Council of the European Union (Council)

  • Dentons
  • -
  • European Union
  • -
  • October 31 2014

The Council has published the version of the Regulation on packaged retail and insurance-based investment products (PRIIPs) adopted in Trilogue. The

Financial Regulatory Developments 7 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • November 7 2014

FCA has launched a consultation on a proposed charge cap on auto-enrolment funds and banning certain charging practices in relation to contract-based