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Results: 1-10 of 229

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


Consumer credit FCA publishes final detailed rules 2014 march
  • Dentons
  • United Kingdom
  • March 3 2014

The UK Financial Conduct Authority has published its feedback statement and final form rules on the detailed CC regulatory regime that takes effect


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


FSA fines bank for AML correspondent banking failings
  • Dentons
  • United Kingdom
  • August 10 2012

FSA has issued its first fine relating to AML requirements and correspondent banking


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


Iniquity exception to privilege JSC BTA Bank v Ablyazov
  • Dentons
  • United Kingdom
  • August 27 2014

This judgment considers the iniquity exception to legal professional privilege and the point at which a client conducts himself so dishonestly that


Financial Regulatory Developments 30 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 30 2014

FCA has fined Barclays £26,033,500 for failing to adequately manage conflicts of interest between itself and its customers, and for systems and


FCA speaks on AML
  • Dentons
  • United Kingdom
  • December 11 2015

Rob Gruppetta spoke on the future of AML regulations. He spoke on: the requirements of the fourth money laundering Directive (MLD4) and what it will


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


Caught in the tangled web
  • Dentons
  • United Kingdom
  • April 27 2015

This is a case in which the claimant alleged that a bank held money on constructive trust for her. The bank said that it was a bona fide purchaser