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Results: 1-10 of 665

Unravelled: bold and sometimes radical - the final Murray report
  • Allens
  • United Kingdom
  • December 7 2014

The Financial System Inquiry would like less regulation, not more, and calls on the industry to improve its conduct so that consumers can have trust


International regulatory update - 3 7 November 2014
  • Clifford Chance LLP
  • Belgium, European Union, Germany, Italy, Japan, Poland, Saudi Arabia, Singapore, South Korea, United Kingdom
  • November 10 2014

The new EU Commissioner for Financial Stability, Financial Services and Capital Markets Union, Jonathan Hill, has delivered a speech to open the


This week at the UK regulators
  • Clifford Chance LLP
  • United Kingdom
  • December 15 2014

In a week without concluded enforcement developments, the spotlight has been on the FCA with the publication of the report setting out the findings of


Clients & friends newsletter September 2014
  • Baker & McKenzie
  • USA, Venezuela, Belgium, China, New Zealand, Saudi Arabia, United Kingdom
  • September 30 2014

In an unfortunate decision, the Brussels Court of Appeals has upheld a decision by a lower court denying the deductibility of stock option costs


Financial services update September 15 2014 feature: U.K. Financial Conduct Authority developments
  • Winston & Strawn LLP
  • United Kingdom
  • September 15 2014

The Financial Conduct Authority (FCA) issued final Capital Rules for Self-Invested Personal Pension operators. The new rules are effective September


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


This week at the UK regulators - 2 March 2015
  • Clifford Chance LLP
  • United Kingdom
  • March 6 2015

The FCA has this week secured another conviction for insider dealing and in a separate case has issued a fine of more than £17 million for systems


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


This week at the UK regulators - 3 November 2014
  • Clifford Chance LLP
  • United Kingdom
  • November 3 2014

The FCA concluded two enforcement cases involving consumer protection issues last week, fining one firm £4.1 million for failing to deal properly with


Investment management newsletter - Spring 2014
  • Kaye Scholer LLP
  • Germany, United Kingdom, USA
  • May 7 2014

At the end of 2013, the US Securities and Exchange Commission implemented changes to Rule 506 under Regulation D (Regulation D) promulgated under