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Results: 1-10 of 1,027

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


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


FSA extends common platform
  • Dentons
  • United Kingdom
  • October 3 2008

FSA has published its final rules extending its common platform principles to firms that fall outside the scope of MiFID and the CRD


MiFID 2: Changes to Client Assets Requirements
  • Dentons
  • European Union, United Kingdom
  • February 23 2016

Previous articles in our MiFID 2 series have considered the effects of MiFID 2 on, among other things, dealings with customers, advice, transparency


FCA creates STOR page
  • Dentons
  • United Kingdom
  • May 6 2016

FCA has created a new page on its website devoted to Suspicious Transaction and Order Reports (STOR) under EU MAR. The page gives information on


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


Regulators consult on regulatory references
  • Dentons
  • United Kingdom
  • October 9 2015

PRA and FCA are consulting on regulatory references. The proposals, which take into account the recommendations of the Fair and Effective Markets


Financial Markets Disputes and Regulatory Update
  • Dentons
  • United Kingdom
  • February 9 2016

As anticipated in the last edition of this update, the Commercial Court has handed down judgment in relation to two claims involving complex


FCA makes EU MAR rules
  • Dentons
  • European Union, United Kingdom
  • April 29 2016

FCA has published its final rule amendments for the effective date of EU MAR. The changes will take effect on 3 July 2016 and will amend several