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Results: 1-10 of 101

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 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 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 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


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 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


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


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


CEA responds on FATF standards
  • Dentons
  • European Union
  • September 23 2011

CEA has responded to FATF on its proposals to review its Standards