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Results: 1-10 of 14

Financial Regulatory Developments 7 November - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • November 7 2014

FCA has launched a consultation on a proposed charge cap on auto-enrolment funds and banning certain charging practices in relation to contract-based


Financial Regulatory Developments 30 January - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • January 30 2015

FCA has published a response to its guidance consultation on retail investment advice, which was open from July to October 2014, and its finalised


Financial Regulatory Developments 20 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 20 2015

FCA has updated firms again on reporting under the AIFMD. It has confirmed it has resolved its issues with the GABRIEL system and has now asked firms


Law commission consults on fiduciary duties of investment intermediaries
  • Dentons
  • United Kingdom
  • October 25 2013

To fulfil the reference received from the Department for Business, Innovation and Skills following the publication of the Kay Report on UK Equity


Up next from FCA
  • Dentons
  • United Kingdom
  • August 9 2013

FCA's latest Policy Development Update indicates the following publications during the third quarter of 2013: policy statements on transparency


FSA censures financial adviser
  • Dentons
  • United Kingdom
  • August 7 2009

FSA has imposed a public censure on Cheshire Life & Pensions for failing to ensure it gave suitable advice on pension income drawdown products


FSA publishes RDR updates
  • Dentons
  • United Kingdom
  • July 6 2012

FSA has published a new edition of its Retail Distribution Review (RDR) Newsletter


FSA fines director for failure to calculate capital
  • Dentons
  • United Kingdom
  • October 26 2012

FSA fined a director of a firm £17,850 for breach of its Principle 6 for approved persons


FSA publishes quarterly consultation
  • Dentons
  • United Kingdom
  • March 9 2012

FSA's latest quarterly consultation seeks views on: changes to the Training and Competence Sourcebook (TC) to add a new qualification to the list


Treasury speaks on EU developments and pensions
  • Dentons
  • European Union, United Kingdom
  • September 23 2011

Mark Hoban spoke on regulatory reform, with specific emphasis on its effects on the pensions sector