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Results: 1-10 of 105

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 28 February - European Parliament (EP)
  • Dentons
  • European Union
  • February 28 2014

The Economic Affairs and the Justice and Home Affairs committees in EP have approved (MLD4). They focused on the new requirement for public listing


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


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 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 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 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 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