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Financial Conduct Authority: primary markets review
  • Dentons
  • United Kingdom
  • April 13 2017

The Financial Conduct Authority (FCA) has published two papers as part of its review of the structure of the UK's primary markets to ensure that they


Financial Conduct Authority: reforming the availability of information in the UK equity IPO process
  • Dentons
  • United Kingdom
  • April 13 2017

The Financial Conduct Authority (FCA) has published its proposed reforms to improve the timing, sequencing and quality of information in the UK IPO


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


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


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


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


It's all in the detail: a cautionary tale for handling complaints
  • Dentons
  • United Kingdom
  • July 16 2013

The Financial Conduct Authority (the FCA1) continues to emphasise the importance of proper complaint handling by firms. Its recent £2.8 million fine


FCA and FRC sign MoU
  • Dentons
  • United Kingdom
  • April 19 2013

FCA and FRC have entered into a memorandum of understanding (MoU) setting out their respective statutory regulatory responsibilities and the


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 makes new rules
  • Dentons
  • United Kingdom
  • February 5 2016

FCA has made various changes to its Handbook following its Board meeting on 28 January. It made the: Individual Accountability (Extension of Scope