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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


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


LIBOR and EURIBOR - proposals for EU regulation
  • Locke Lord LLP
  • European Union, United Kingdom
  • September 10 2012

In July 2012, the Chancellor of the Exchequer announced that a review into the setting of LIBOR would be conducted by Martin Wheatley


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


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


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


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


FSA confirms FCA approach to using Temporary Product Intervention Rules
  • Locke Lord LLP
  • United Kingdom
  • March 27 2013

On 25 March 2013, the UK's Financial Services Authority (FSA) published a Policy Statement which confirms that the Financial Conduct Authority (FCA


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


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