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Results: 1-10 of 113

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 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 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


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 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 5 December - Council of the European Union (Council)
  • Dentons
  • European Union
  • December 5 2014

The Presidency has published its compromise response to the proposal for a Regulation on money market funds (MMFs). It has proposed significant


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 30 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 30 2014

FCA has fined Barclays £26,033,500 for failing to adequately manage conflicts of interest between itself and its customers, and for systems and


FSA bans ex-insurance directors
  • Dentons
  • United Kingdom
  • September 5 2008

FSA has banned three former directors of BPS Insure Limited, for failing to tell FSA about a large client account deficit and for misuse of client money


Financial Regulatory Developments 7 February - European Parliament (EP)
  • Dentons
  • European Union
  • February 7 2014

EP has approved CSMAD by a large majority vote. It commented that, among other things, a number of offences relating to insider dealing, market abuse