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Results: 1-10 of 229

Whistleblowing Toolkit
  • Dentons
  • United Kingdom
  • August 9 2016

In October last year, the FCA and PRA published policy statements containing new rules on whistleblowing. These are designed to encourage a culture


Treasury consults on AMLCFT supervisory regime
  • Dentons
  • United Kingdom
  • April 29 2016

Treasury has launched a call for information on the government's anti-money laundering (AML)Counter Financing of Terrorism (CFT) supervisory regime


Treasury and Home Office publish AMLCFT action plan
  • Dentons
  • United Kingdom
  • April 29 2016

Treasury and the Home Office have published the government's action plan to stop money laundering and the funding of terrorism. The document outlines:


NCA publishes SARs Annual Report 2015
  • Dentons
  • United Kingdom
  • March 18 2016

NCA has published its Suspicious Activity Reports (SARs) Annual Report 2015. The report covers the first year of the UK Financial Intelligence Unit


SFO closes forex investigation
  • Dentons
  • United Kingdom
  • March 18 2016

SFO has announced the closure of its investigation into allegations of fraudulent conduct in the foreign exchange market. SFO has concluded that


Bank failure offence comes into force
  • Dentons
  • United Kingdom
  • March 11 2016

Treasury highlighted the effective date for the new individual criminal offence of causing a financial institution to fail. The offence took effect


FCA fines and restricts firm for market abuse failings
  • Dentons
  • United Kingdom
  • February 26 2016

FCA has fined broker and wealth manager WH Ireland Limited (WHI) £1.2 million and restricted the firm for 72 days from taking on new clients in its


FCA recovers £2.9 million for investors in fraudulent scheme
  • Dentons
  • United Kingdom
  • February 19 2016

FCA's prosecution of Alex Hope, owner of a fraudulent collective investment scheme, has resulted in an order for almost £2.65 million to be returned


FCA bans former compliance officer in relation to market abuse failings
  • Dentons
  • United Kingdom
  • February 12 2016

In March 2015 the Upper Tribunal upheld FCA's decision to fine Tariq Carrimjee of Somerset Asset Management LLP £89,004 for failing to escalate the


Reform Bill notices of amendments to FSMA
  • Dentons
  • United Kingdom
  • February 12 2016

Parliament has published government amendments to the Bank of England and Financial Services Bill (Reform Bill) relating to a new Part 20B of the