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Results: 1-10 of 49

Treasury publishes bulletin

  • Dentons
  • -
  • United Kingdom
  • -
  • October 15 2010

Treasury has published a bulletin summarising recent developments in financial services

HMRC backs FSA on nominated officer

  • Dentons
  • -
  • United Kingdom
  • -
  • August 13 2010

HMRC has said it backs FSA's view that firms should not over-rely on external consultants to ensure compliance with their AML requirements

FSA reviews DEPP and EG

  • Dentons
  • -
  • United Kingdom
  • -
  • October 22 2010

FSA is consulting on changes to its Decision Procedure and Penalties Manual and Enforcement Guide as a result of its 2010 review

Tribunal backs market abuse fine

  • Dentons
  • -
  • United Kingdom
  • -
  • October 22 2010

The Financial Services and Markets Tribunal has decided it was appropriate for FSA to impose a financial penalty on Andre Jean Scerri

Complaints Commissioner upholds FSA fee demands

  • Dentons
  • -
  • United Kingdom
  • -
  • August 20 2010

The Complaints Commissioner has rejected complaints from two firms that ceased business and objected to FSA claiming fees for the full year during which the business ceased

FSA warns of client asset email

  • Dentons
  • -
  • United Kingdom
  • -
  • December 23 2010

FSA plans to email small firms whose permissions include safeguarding and administration without arranging, or which have authority to hold client money, during the first week of January

FSA fines and bans manager for mismarking

  • Dentons
  • -
  • United Kingdom
  • -
  • December 23 2010

FSA has banned a former managing director at Toronto Dominion Bank and fined him £750,000 for deliberately mismarking trading positions and misleading his staff to conceal his losses over a two-year period

Commission consults on financial sector taxation

  • Dentons
  • -
  • European Union
  • -
  • February 25 2011

The Commission is seeking views on the possible design of financial sector tax and its effects

FSA announces insider dealing arrest

  • Dentons
  • -
  • United Kingdom
  • -
  • September 17 2010

FSA has announced the arrest of a man for suspected money laundering and providing false information in connection with suspected insider dealing

FSA consults on platforms and the RDR

  • Dentons
  • -
  • United Kingdom
  • -
  • November 19 2010

FSA is consulting on changes to COBS that will ensure compliance with the standards of the Retail Distribution Review (RDR) when consumers use platforms to buy and manage investments

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