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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
  • 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


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


Unfair contract terms: "read and understood" declarations
  • Dentons
  • United Kingdom
  • January 28 2009

Under the Unfair Terms in Consumer Contracts Regulations 1999 (the Regulations), FSA has the power to challenge FSA-regulated firms that are using terms which they view as unfair


FSA appoints Paul Stockton to FSCS board
  • Dentons
  • United Kingdom
  • December 9 2011

FSA has appointed Paul Stockton as non-executive director of the Financial Services Compensation Scheme


Service of contractual notices under standard form financial contracts - lessons to learn
  • Dentons
  • United Kingdom
  • December 6 2016

Where a contract sets down requirements for the service of notices under it, it is essential to comply with them strictly. Lord Hoffman famously said


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


Firms receive FCA classifications
  • Dentons
  • United Kingdom
  • March 22 2013

FSA has written to firms explaining: FCA's approach to supervision; the firm's conduct and prudential category; what this means for the firm


The Senior Managers Regime - is responsibility for a bank's legal function in or out?
  • Dentons
  • United Kingdom
  • December 6 2016

On 7 March this year the FCA and PRA’s new Senior Managers Regime (SMR) came into force for banks following a lengthy and extensive consultation


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