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Results: 1-10 of 182

NCA publishes SARs Annual Report 2015
  • Dentons
  • United Kingdom
  • March 18 2016

NCA has published its Suspicious Activity Reports (SARs) Annual Report 2015. The report covers the first year of the UK Financial Intelligence Unit


Tribunal decides on identification in IBOR case
  • Dentons
  • United Kingdom
  • March 11 2016

The Tribunal heard the application of Joerg Vogt, who alleged FCA's Final Notice relating to Deutsche Bank's misconduct in respect of interbank rates


Reform Bill notices of amendments to FSMA
  • Dentons
  • United Kingdom
  • February 12 2016

Parliament has published government amendments to the Bank of England and Financial Services Bill (Reform Bill) relating to a new Part 20B of the


FCA consults on inside information disclosure
  • Dentons
  • United Kingdom
  • November 27 2015

FCA is consulting on developments relating to the disclosure of inside information by issuers with securities admitted to trading on a regulated


Treasury publishes ML NRA
  • Dentons
  • United Kingdom
  • October 16 2015

Treasury has released its first national risk assessment (NRA) on the domestic risks of money laundering (ML) and terrorist financing within the


Judgments - so far this year
  • Dentons
  • European Union, United Kingdom
  • June 17 2015

This was a judgment of the European Court of Justice (ECJ). Mr Kolassa, who is domiciled in Austria, invested in certificates issued by Barclays in


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