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Financial Regulatory Developments 24 April - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • April 24 2015

FCA has fined Merrill Lynch International £13,285,900 for transaction reporting failures. It found that over a seven-year period the firm incorrectly


Financial Regulatory Developments 17 October - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • October 17 2014

FCA has banned the managing and finance directors of Pritchard Stockbrokers Limited for client money failings. The firm was censured. FCA would have


Financial Regulatory Developments 20 June - HM Treasury (Treasury)
  • Dentons
  • United Kingdom
  • June 20 2014

In this year's Mansion House speech, key announcements were: the Fair and Effective Markets Review, a comprehensive review of standards in the fixed


Financial Regulatory Developments 23 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 23 2014

FCA has carried out a review of consumer credit advertising and has told firms to raise their standards. It surveyed a sample of advertisements and


Financial Regulatory Developments 9 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 9 2014

FCA has created a set of pages on its website providing information on the revised Markets in Financial Instruments Directive and Regulation package


Financial Regulatory Developments 17 April - Upper Tribunal (Tribunal)
  • Dentons
  • United Kingdom
  • April 17 2014

The Tribunal has backed FCA's decision to fine Amir Khan £80,000 for various dishonest activities relating to mortgage applications. FCA also banned


Financial Regulatory Developments 4 April - HM Treasury (Treasury)
  • Dentons
  • United Kingdom
  • April 4 2014

George Osborne has made clear the Government's concerns that FCA briefed a single journalist on its proposed work in the insurance sector, which led


Financial Regulatory Developments 28 March - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • March 28 2014

FCA has published a thematic review looking at whether firms that describe their services as "independent" under the post-Retail Distribution Review


Financial Regulatory Developments 7 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 7 2014

FCA has published a policy statement confirming its new rules which: ban new referral payments from a discretionary investment manager (DIM) to an


Financial Regulatory Developments 3rd January - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • January 3 2014

FCA has fined JLT Specialty Limited £1,876,000 for failing to have in place appropriate checks and controls to guard against the risk of bribery or