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FCA clarifies SMR intentions on legal function
  • Dentons
  • United Kingdom
  • January 29 2016

FCA has clarified its supervisory intentions on overall responsibility for the legal function under the Senior Managers Regime (SMR). After FCA


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


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


FCA writes to CEOs on CFD compliance
  • Dentons
  • United Kingdom
  • February 5 2016

FCA has written a Dear CEO letter following its review of new client procedures for firms offering contracts for difference (CFD) products on a


FCA publishes minutes from MiFID 2 roundtable
  • Dentons
  • United Kingdom
  • January 15 2016

FCA has published the Minutes of the MiFID 2 implementation roundtable meeting it held on 6 January. FCA noted: it expects greater clarity on a


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


MiFID 2: FCA Publishes MiFID 2 Markets Consultation
  • Dentons
  • European Union, United Kingdom
  • December 16 2015

Despite the continuing absence of the Commission's Level 2 legislation implementing the revised Markets in Financial Instruments Directive and


FCA Publishes MiFID 2 Markets Consultation
  • Dentons
  • European Union, United Kingdom
  • December 15 2015

Despite the continuing absence of the Commission's Level 2 legislation implementing the revised Markets in Financial Instruments Directive and


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 publishes IFPRU modification by consent for bail-in
  • Dentons
  • United Kingdom
  • January 6 2016

FCA has published a modification by consent for firms subject to the Prudential Sourcebook for Investment Firms (IFPRU). Currently, the rules in