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Results: 1-10 of 127

FCA Chairman outlines areas for change in speech to TheCityUK seminar
  • Locke Lord LLP
  • United Kingdom
  • June 19 2013

In his first major speech as Chairman of the FCA, John Griffith-Jones told attendees at TheCityUK's London seminar on 13 June how he felt that both


UK: FCA fines broker, compliance officer and asset manager in relation to market abuse
  • Locke Lord LLP
  • United Kingdom
  • August 15 2013

The FCA issued decision notices last week for three individuals in connection with market abuse by Rameshkumar Goenka (which earned Goenka a fine of


FCA issues its first public sanction for breaches of the payment services regulations
  • Locke Lord LLP
  • United Kingdom
  • May 9 2013

On 30 April 2013, the Financial Conduct Authority (FCA) issued a public censure to Horn Express Ltd (formerly Qaran Express Money Transfer Limited


How "final" is a "final and binding" decision from the Financial Ombudsman Service?
  • Locke Lord LLP
  • United Kingdom
  • January 10 2013

At its most basic, the Financial Ombudsman Service (FOS) is there to resolve disputes between consumers and financial services providers. If an "eligible


HM Treasury outlines framework for FCA regulation of consumer credit
  • Locke Lord LLP
  • United Kingdom
  • March 20 2013

The UK Government has announced plans to transfer consumer credit regulation to the Financial Conduct Authority (FCA) in April 2014, when the current


UK: the financial Conduct Authority announces its policy for publishing information about enforcement warning notices
  • Locke Lord LLP
  • United Kingdom
  • December 18 2013

The Financial Conduct Authority (FCA) has published its policy statement on 'Publishing Information about Enforcement Warning Notices'; aimed at


FSA fines and bans advisor for advising retail customers to buy unregulated collective investment schemes
  • Locke Lord LLP
  • United Kingdom
  • October 30 2012

On 29 October 2012, the FSA fined Martin Rigney, a partner and the only advisor at Topps Rogers, £117,330 and banned him from performing any function in relation to any regulated activity in the financial services industry


A Guide to AIM - The Junior Market of the London Stock Exchange
  • Locke Lord LLP
  • United Kingdom
  • January 19 2016

AIM is the junior market of the London Stock Exchange, and has become a leading market for companies all over the world to raise funds for growth and


FCA issues first fine for client asset breaches under new penalty regime
  • Locke Lord LLP
  • United Kingdom
  • June 19 2013

The FCA has issued its first fine for breaches of client asset rules under the new penalty regime. The fine was imposed on 11 June 2013 on retail


FSA publishes guidance on the risks to customers from financial incentives
  • Locke Lord LLP
  • United Kingdom
  • January 22 2013

Final guidance aimed at stopping financial firms from running incentive schemes that encourage mis-selling was published by the Financial Services