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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 6 February - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • February 6 2015

FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees (IGCs). IGCs will represent the interests

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

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 9 January - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • January 9 2015

Following Treasury's announcement on the creation of criminal offences relating to additional benchmarks, FCA is consulting on updating its current

Financial Regulatory Developments 13 February - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • February 13 2015

FCA has announced three new Chairs for its independent Practitioner Panels. The appointments come into effect from 1 April. The new Chairs are: FCA

FSA updates on "stand-alone" promotion compliance

  • Dentons
  • -
  • United Kingdom
  • -
  • October 9 2009

FSA has issued an update explaining why it expects firms to ensure that each promotion complies with FSA rules

FSA signs MoU with Korea

  • Dentons
  • -
  • South Korea, United Kingdom
  • -
  • December 9 2011

FSA and the financial regulators of the Republic of Korea have signed a MoU setting out how they will share information and cooperate on enforcement

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

  • Dentons
  • -
  • United Kingdom
  • -
  • May 2 2014

FCA has reminded firms that the rules implementing the Mortgage Market Review (MMR) took effect on 26 April. (Source: MMR Rules Take Effect) Contact:

FCA and FRC sign MoU

  • Dentons
  • -
  • United Kingdom
  • -
  • April 19 2013

FCA and FRC have entered into a memorandum of understanding (MoU) setting out their respective statutory regulatory responsibilities and the