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Financial Regulatory Developments 1 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 1 2015

FCA has fined Moorhouse Group Limited £159,300 for failing to have in place controls to ensure customers to whom it sold motor and liability-related


Financial Regulatory Developments 27 March - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • March 27 2015

FCA has published a Discussion Paper to gauge views on how it might implement certain conduct of business (COB) and operational requirements of MiFID


Financial Regulatory Developments 13 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 13 2015

FCA has announced three new Chairs for its independent Practitioner Panels. The appointments come into effect from 1 April. The new Chairs are: FCA


Financial Regulatory Developments 6 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 6 2015

FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees (IGCs). IGCs will represent the interests


Financial Regulatory Developments 6 February - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • February 6 2015

PRA has published a consultation paper setting out proposals for transitional provisions and new rules in the PRA Rulebook and consequential


Financial Regulatory Developments 19 December - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • December 19 2014

FCA has published its market study on retirement income and thematic review into annuity sales practices where firms sell annuities to existing


Financial Regulatory Developments 12 December - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • December 12 2014

FCA has published a new page on its website explaining the 317 new validations it and PRA will activate in respect of reporting under CRD 4 on 17


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 - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • October 10 2014

FCA has published details of its agreement with Wonga that requires Wonga to make significant changes to its business immediately. Wonga agreed to


Financial Regulatory Developments 3 October - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • October 3 2014

FCA has published a consultation paper setting out its approach to implementation of the Mortgage Credit Directive (MCD). Where possible, FCA will