We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 101

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 21 November - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • November 21 2014

FCA has carried out further reviews on: how small banks manage money laundering and sanctions risks; and how insurance brokers manage bribery and


Financial Regulatory Developments 10 October - Council of the European Union (Council)
  • Dentons
  • European Union
  • October 10 2014

The Council has published a table it received from the European Parliament setting out the list of files that are unfinished. Parliament has divided


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 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 16 May - Council of the EU (Council)
  • Dentons
  • European Union
  • May 16 2014

The Council has formally adopted the revised Markets in Finaincal Instruments Directive (MiFID 2) and Regulation (MiFIR). As noted in previous


The long arm of FSA
  • Dentons
  • United Kingdom
  • August 8 2012

Recent actions by FSA against firms with overseas head offices, and approved persons working in those firms, should sound warning bells to all FSA-authorised firms with an international client base for whom a UK presence serves greater global needs


Financial Regulatory Developments 9 January - Presidency of the Council of the EU (Presidency)
  • Dentons
  • European Union
  • January 9 2015

The Latvian Presidency has published its programme for the next six months. Among its priorities are:addressing capital market union; progressing


IAIS looks at money laundering risks
  • Dentons
  • Global
  • October 25 2013

IAIS has published a paper looking at money laundering and terrorist financing in the insurance markets and how to combat the risks. IAIS saw a need


EP updates voting dates
  • Dentons
  • European Union
  • July 19 2013

The EP's legislative observatory (OEIL) has updated the following voting forecasts: the Directive on criminal sanctions for insider dealing and