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Results: 1-10 of 904

Financial Regulatory Developments 31 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 31 2015

FCA has made new rules: extending the "next business day rule", that allows firms to handle complaints less formally, without sending a final


ICAP one fine too many?
  • Dentons
  • European Union, United Kingdom
  • June 10 2015

On 4 February 2015, the European Commission (Commission) fined cash broker ICAP plc (ICAP) 14.9 million for its involvement in the Japanese Yen


Financial Regulatory Developments 1 August - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • August 1 2014

Following Treasury's consultation on implementation of the Bank Recovery and Resolution Directive (BRRD) (see FReD 25 July), PRA has now published


Life under dual-regulation: how banks should adapt to the PRA
  • Dentons
  • United Kingdom
  • March 25 2013

The Financial Services Act 2012 (FS Act) received Royal Assent just before Christmas 2012 and will, for the most part, take effect on 1 April 2013


Financial Regulatory Developments 12 June - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • June 12 2015

PRA has published a supervisory statement on its approach to supervising liquidity and funding risks to go alongside its Policy Statement and final


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


Ships that pass in the night? Will the FCA's recent guidance on retail investment advice have any impact on mis-selling litigation?
  • Dentons
  • United Kingdom
  • February 26 2015

The FCA has recently published Finalised Guidance 151 (the Guidance), which promises to consolidate existing sources of guidance on retail


Financial Regulatory Developments 13 March - UK Financial Services and Markets Regulators
  • Dentons
  • United Kingdom
  • March 13 2015

FCA has published a thematic review and supporting papers that show consumers do not understand structured products. FCA carried out research that


UK financial sanctions: the regime and the regulator
  • Dentons
  • United Kingdom
  • June 12 2009

Compliance with financial sanctions has made its way up the UK financial regulatory agenda


Structure of UK financial regulation: fix it or rip it up and start again?
  • Dentons
  • United Kingdom
  • September 22 2009

At last, regulators and policy makers seem to have finished analysing what went wrong with financial regulation