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Results: 1-10 of 2,459

FCA's thematic review and guidance for firms in relation to risks to customers from performance management
  • Eversheds LLP
  • United Kingdom
  • May 14 2015

The deadline for responses to the FCA's guidance consultation and thematic review relating to risks to customers from performance management is


Further proposals on senior management responsibility
  • Clyde & Co LLP
  • United Kingdom
  • May 11 2015

A slew of policy statements and consultation papers were issued in March on the proposed new approval and fitness and propriety regimes for senior


UK regulator publishes consultation on new PRA Rulebook
  • Shearman & Sterling LLP
  • United Kingdom
  • May 5 2015

On April 30, 2015, the PRA published its third consultation paper on the PRA Rulebook, setting out proposals to amend or delete certain modules of


FCA publishes Handbook including the Alternative Dispute Resolution Directive Instrument 2015
  • Eversheds LLP
  • United Kingdom
  • April 30 2015

The FCA has published four Handbook instruments, made by it and the Financial Ombudsman Service (FOS), which were made (or approved as applicable) on


Proposed FCA technical notes on closed-ended investment companies
  • Herbert Smith Freehills LLP
  • United Kingdom
  • April 28 2015

You would be forgiven if the Financial Conduct Authority's ("FCA") rather plainly titled 'Primary Market Bulletin No. 11' (the "Bulletin") passed you


Key EU legislative developments - status update as at April 2015 (updates in red)
  • Baker & McKenzie
  • European Union, United Kingdom
  • April 23 2015

Implementing Basel III (Liquidity standards; definition of capital; leverage ratio; counterparty credit risk; capital buffers). Plus, enhanced


Intervention the FCA’s approach
  • Berwin Leighton Paisner LLP
  • United Kingdom
  • April 16 2015

"Intervention" seems to be the word of the moment at 25 The North Colonnade. Whether it's "early intervention" or "product intervention", acting


Financial Regulatory Developments 10 April - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • April 10 2015

FCA's latest policy development update highlights, for the next quarter policy statements on: Fees and levies; Whistleblowing; outstanding issues on


Revised UKLA technical notes six new notes added
  • Macfarlanes LLP
  • United Kingdom
  • April 7 2015

The FCA has made significant changes to its technical notes. In addition to making clarificatory amendments to a number of notes (including deleting


Fewer listed company circulars require approval - 1 April 2015
  • Macfarlanes LLP
  • United Kingdom
  • April 7 2015

Changes to the FCA’s vetting of circulars took effect on 1 April. The revisions decrease the number of circulars requiring approval. Previously LR13.2