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Results: 1-10 of 75

New rules for senior executives in insurers, investment firms, asset managers, brokers and consumer credit firms
  • Clifford Chance LLP
  • United Kingdom
  • May 12 2016

On 7 March 2016, the new Senior Managers and Certification Regimes (Accountability Regime) that governs large parts of the banking sector came into


International Regulatory Update 14 - 18 March 2016
  • Clifford Chance LLP
  • European Union, France, Germany, Global, Hong Kong, Italy, Poland, Singapore, United Kingdom, USA
  • March 22 2016

The EU Commission has adopted a Commission Delegated Regulation on classes of arrangements to be protected in a partial property transfer under


International Regulatory Update 18 - 22 April 2016
  • Clifford Chance LLP
  • China, European Union, Global, Hong Kong, Luxembourg, Netherlands, Singapore, Spain, United Kingdom
  • April 26 2016

A Commission Delegated Regulation (2016592) supplementing the European Market Infrastructure Regulation (EMIR) with regard to Regulatory Technical


This week at the UK regulators - 9 February 2016
  • Clifford Chance LLP
  • European Union, United Kingdom
  • February 9 2016

Enforcement action taken by the FCA this week has been dominated by joint action with the PRA against multiple individuals and firms for misconduct


This week at the UK regulators - 14 March 2016
  • Clifford Chance LLP
  • Hong Kong, United Kingdom
  • March 14 2016

The main enforcement development last week was the confirmation of the cancellation of the interim permission of a debt management firm based on the


This week at the UK regulators - 6 January 2014
  • Clifford Chance LLP
  • United Kingdom
  • January 6 2014

The FCA has remained relatively active over the festive period, imposing a penalty of over £1.8 million on an insurance Brokerage firm for failings


FSA update - 10 september 2012
  • Clifford Chance LLP
  • United Kingdom
  • September 10 2012

The FSA has (on 5 September) issued a guidance consultation paper (GC 1211) setting out its views on the risks to customers from financial incentives offered to sales staff


This week at the UK regulators - 2 April 2014
  • Clifford Chance LLP
  • United Kingdom
  • April 2 2014

In a busy week of enforcement activity and public pronouncements, the FCA has imposed a financial penalty on a bank for historic breaches in relation


This week at the UK regulators - 22 July 2013
  • Clifford Chance LLP
  • United Kingdom
  • July 22 2013

Last week saw another example of the FCA focusing attention on its forward-facing consumer protection work by announcing a substantial financial


FSA update - 4 July 2011
  • Clifford Chance LLP
  • United Kingdom
  • July 4 2011

The FSA has this week obtained summary judgment in the High Court against Stephen Watkins, who traded as Consolidated Land UK