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Results: 1-10 of 93

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


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


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


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


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


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


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