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Results: 1-10 of 114

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 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


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


FSA bans and fines insurance broker
  • Dentons
  • United Kingdom
  • July 27 2012

FSA has banned Stephen Goodwin, a former commercial insurance broker, and fined him £471,846, for using clients’ premium moneys to fund his business


Tribunal fines insurance broker for mishandling client moneys
  • Dentons
  • United Kingdom
  • December 4 2015

The Tribunal has fined former insurance broker Terence Joint £10,000 for failings in relation to the handling of client money. Due to personal


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 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 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