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FCA publishes UTCCR undertakings

Dentons
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United Kingdom
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June 7 2013

FCA has published undertakings from the Clerical Medical Investment Group Limited and the Equitable Life Assurance Society. FCA noted terms allowing

FCA fines £6 million for systems and controls failings

Dentons
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United Kingdom
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June 7 2013

FCA has fined Sesame Limited £6,031,200 for two failings. A small part of the fine relates to failure to ensure customers received suitable advice

Presidency publishes KID compromise

Dentons
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European Union
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June 7 2013

The Presidency has published a compromise text for the proposed Key Information Document (KID) for packaged retail investment products. (Source:

FCA bans NED for failure to disclose conflicts

Dentons
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United Kingdom
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May 31 2013

FCA has banned a non-executive director (NED) of two mutual societies and fined her £154,800 for failing to disclose conflicts of interest. Angela

FSCS publishes annual report

Dentons
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United Kingdom
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July 13 2012

FSCS’s annual report says it paid £347 million in compensation to more than 86,000 claimants in 201112

FSA fines for APER breaches and market abuse

Dentons
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United Kingdom
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July 13 2012

FSA has fined Jay Rutland, a former senior broker, £30,000 and banned him for breach of the Statements of Principle for Approved Persons (APER), for engaging in market abuse by making improper disclosure and encouraging others to deal in circumstances which would have amounted to insider dealing by Mr Rutland

FSA notes PSD and EMD2 reviews

Dentons
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European Union, United Kingdom
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July 6 2012

FSA has updated its website to reflect the fact that Member States must report on the efficiency of the Payment Services Directive (PSD) and second E-Money Directive (EMD2) by November

Court says no recovery of “unauthorised” trading losses

Dentons
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United Kingdom
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July 6 2012

The High Court has held that a spread betting firm was unable to recover money it claimed a consumer owed it in respect of online spread betting losses