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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 24 October - Council of the European Union (Council)
  • Dentons
  • European Union
  • October 24 2014

The Presidency of the Council has tabled, for negotiation among Member States, a new compromise text of the proposed multilateral interchange fees


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 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


Financial crime controls
  • Dentons
  • United Kingdom
  • November 19 2014

In November 2014, FCA published the results of two thematic reviews into how firms manage their financial crime risks, together with proposed


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 27 June - Presidency of the Council of the EU (Presidency)
  • Dentons
  • European Union
  • June 27 2014

The Presidency has published its second compromise text on the revised Insurance Mediation Directive (IMD 2). One stylistic change substitutes the


Financial Regulatory Developments 6 June - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • June 6 2014

FCA has set up a page on its website reminding firms of their obligations in relation to the prevention of financial crime, specifically money


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