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Results: 1-10 of 1,605

Regulatory M&A due diligence: how to get it right
  • Dentons
  • United Kingdom
  • March 27 2012

Changes to regulation over the coming years are likely to lead to an increase in disposals of businesses or parts of business


Crowded house - UK legislation and FCA regulation of crowdfunding
  • Dentons
  • United Kingdom
  • February 13 2015

Post-financial crisis, many small businesses, unable to get bank financing in the wake of the tightening of bank Capital Rules, turned to


FCA bans Aviva analyst
  • Dentons
  • United Kingdom
  • November 20 2015

FCA has fined Mothahir Miah, a former investment analyst at Aviva Investors Global Services Limited (Aviva), £139,000 and banned him from performing


Treasury exempts peer to peer lending platforms from CIS definition
  • Dentons
  • United Kingdom
  • December 23 2015

The Financial Services and Markets Act 2000 (FSMA) (Collective Investment Schemes) (Amendment) Order 2015 exempts electronic systems in relation to


FCA creates STOR page
  • Dentons
  • United Kingdom
  • May 6 2016

FCA has created a new page on its website devoted to Suspicious Transaction and Order Reports (STOR) under EU MAR. The page gives information on


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


Financial Regulatory Developments 5 December - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • December 5 2014

PRA has issued guidance on applying for "CRR Permissions" to allow firms to use their own sensitivity positions for the purposes of the standardised


MiFID 2: FCA Publishes MiFID 2 Markets Consultation
  • Dentons
  • European Union, United Kingdom
  • December 16 2015

Despite the continuing absence of the Commission's Level 2 legislation implementing the revised Markets in Financial Instruments Directive and


FSA speaks on prudent valuation
  • Dentons
  • United Kingdom
  • December 23 2010

FSA has published the slides used by Ragveer Brar to outline FSA's review of, and concerns about, valuations and product control


AIFM regulation progresses by inches
  • Dentons
  • European Union, United Kingdom, USA
  • September 17 2010

Hedge funds, private equity funds and other alternative investment funds and their managers have been ever-present on the regulatory reform agenda for the past two years