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Results: 1-10 of 127

Financial Services Act 2010
  • Locke Lord LLP
  • United Kingdom
  • April 16 2010

The Financial Services Act 2010 (the Act) received Royal Assent on 8 April 2010


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


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


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 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


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


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


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


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