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Results: 1-10 of 93

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


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


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


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


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


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 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: 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