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Financial Regulatory Developments 14 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom, USA
  • -
  • November 14 2014

FCA and the US Commodity Futures Trading Commission (CFTC) have fined five banks more than $3 billion for failures in their FX trading operations

Financial Regulatory Developments 14 November - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • November 14 2014

ESMA has launched a call for evidence to help it draft its Opinion on passporting under the Alternative Investment Fund Managers Directive (AIFMD

Financial Regulatory Developments 14 November - Council of the European Union (Council)

  • Dentons
  • -
  • European Union
  • -
  • November 14 2014

The Council has confirmed its agreement to the general approach on the Insurance Distribution Directive (IMD 2) and invites the Parliament and

Financial Regulatory Developments 7 November - Presidency of the European Union (Presidency)

  • Dentons
  • -
  • European Union
  • -
  • November 7 2014

The Presidency has published a further compromise text for the revised Payment Services Directive (PSD 2). (Source: Presidency Publishes PSD 2

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

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

FSA makes new rules

  • Dentons
  • -
  • United Kingdom
  • -
  • November 9 2012

At FSA's September and October Board Meetings, it made several sets of new rules

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

Financial Regulatory Developments 14 March - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • March 14 2014

FCA has made its final rules on crowdfunding following its consultation. It has taken forward most of its proposals and made changes to several parts

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

  • Dentons
  • -
  • United Kingdom
  • -
  • October 10 2014

FCA has published details of its agreement with Wonga that requires Wonga to make significant changes to its business immediately. Wonga agreed to