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FCA update on its status disclosure rules

RPC
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United Kingdom
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May 14 2013

On 1 May 2013, the Financial Conduct Authority (FCA) published a press release to clarify the 12 month transitional period for authorised firms to

Misselling of leveraged notes: not a marginal call

RPC
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United Kingdom
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April 16 2013

In Al Sulaiman v Credit Suisse Securities (Europe) Limited the Commercial Court considered a claim for breach of duty in recommending investments

First reported interest rate swap mis-selling claim crumbles

RPC
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United Kingdom
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January 29 2013

Interest rate hedging products are sold in a variety of forms swaps, caps, collars and structured collars, to name but a few. Their objective is to

Tough times, tough talk, tough regulator

RPC
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United Kingdom
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July 4 2012

At the FSA’s final Enforcement Conference on Monday, Tracy McDermott, the acting director of the FSA’s Enforcement and Financial Crime Division, issued a scathing attack on the financial services industry and gave an indication as to the interventionist future planned for the FSA’s successor, the FCA

Cable may tie down Goodwin, despite his eluding the FSA’s net; Turner and Sants call for smaller holes

RPC
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United Kingdom
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June 26 2012

In response to the October 2008 failure of RBS, news reports suggest that Vince Cable MP, Secretary of State for Business, Innovation and Skills, may apply for an order to disqualify Fred Goodwin from being able to hold any future directorship of a UK company

Breaching the perimeter twice could be enough to be ‘by way of business’

RPC
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United Kingdom
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June 1 2012

The Court of Appeal has held that an individual who accepted deposits on two separate occasions, that were over 18 months apart, may be liable to conviction for carrying on an unauthorised regulated activity, contrary to the general prohibition (s.19 and 23 FSMA 2000

Not so credible deterrence

RPC
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United Kingdom
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April 26 2012

The FSA’s Enforcement Guide states that taking action against individuals sends an important message about the FSA’s regulatory objectives and priorities and the FSA considers that such cases have important deterrent values

Hector Sants’ resignation will throw finance sector into confusion

RPC
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United Kingdom
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March 16 2012

Hector Sants’ resignation this morning is surprising given that his remit was to deliver an orderly transition to the government’s new twin peaks regulatory structure