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Results: 1-10 of 123

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


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 bans promotion of UCIS and fines investment firm £6m for related failings
  • Locke Lord LLP
  • United Kingdom
  • June 7 2013

On 4 June 2013, the FCA published its final rules banning the promotion of Unregulated Collective Investment Schemes (UCIS) and various similar


The broker scheme of arrangement
  • Locke Lord LLP
  • United Kingdom
  • May 23 2014

On 16 April 2014 we assisted J.K. Buckenham Limited (JKB) in successfully obtaining the court's leave to convene a meeting of its creditors, a


Key changes to the UK Takeover Code 30 September 2013
  • Locke Lord LLP
  • United Kingdom
  • August 6 2013

On 30 September 2013, a number of significant changes to the UK Takeover Code ("Code") will come into effect. Although these changes are not sweeping


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


HM treasury publishes amended draft regulations for the Alternative Investment Fund Managers Directive
  • Locke Lord LLP
  • United Kingdom
  • May 15 2013

On 13 May 2013, HM Treasury published the response to its further consultation on the transposition into UK law of the Alternative Investment Fund


PRA publishes policy statement on its power of direction over qualifying parent undertakings
  • Locke Lord LLP
  • United Kingdom
  • April 11 2013

On 1 April 2013, the Prudential Regulation Authority (PRA) published a policy statement on its power of direction over qualifying parent undertakings


UK FSA fines prudential £30m, censures CEO for failure to disclose
  • Locke Lord LLP
  • United Kingdom
  • March 27 2013

Earlier today, the UK Financial Services Authority fined two member companies of the Prudential Group a total of £30 million for failing to disclose


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