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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


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


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


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


Taking security over publicly traded shares
  • Dentons
  • United Kingdom
  • September 1 2016

A lender's ability to enforce its security over publicly traded shares can be affected if it holds inside information about the company that has


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


Financial Markets Disputes and Regulatory Update
  • Dentons
  • United Kingdom
  • July 6 2016

It is often difficult to identify common themes arising from judgments that happen to be handed down at the same time, and the first half of 2016 has


FSA updates on "stand-alone" promotion compliance
  • Dentons
  • United Kingdom
  • October 9 2009

FSA has issued an update explaining why it expects firms to ensure that each promotion complies with FSA rules


Financial Regulatory Developments 25 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 25 2014

FCA has: published the results of its thematic review into offers of enhanced transfer values (ETVs) when financial advisers try to persuade


Financial Regulatory Developments 6 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 6 2015

FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees (IGCs). IGCs will represent the interests