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Results: 1-10 of 794

Latest FCA rules and guidance: SMCR, remuneration and whistleblowing
  • Dentons
  • Global, United Kingdom
  • May 8 2017

On 3 May the FCA published a series of policy statements tidying up aspects of the senior managers and certification regime (SMCR) for banks and


Regulatory references: the new rules of recruitment for the financial sector
  • Dentons
  • United Kingdom
  • February 28 2017

On 7 March 2017, the recruitment practices of banks and insurers are changing with the introduction of mandatory regulatory references. It is expected


Financial Markets Disputes and Regulatory Update - Regulatory decisions
  • Dentons
  • United Kingdom
  • January 24 2017

The introduction of the first stage of the SMR has not slowed the volume of publications from the regulators on this crucial area of reform. Although


What is worth remembering from the second half of 2016?
  • Dentons
  • United Kingdom
  • January 24 2017

In the first half of 2016, there were a number of interesting judgments in relation to agreements concluded on standard terms


The Senior Managers Regime - is responsibility for a bank's legal function in or out?
  • Dentons
  • United Kingdom
  • December 6 2016

On 7 March this year the FCA and PRA’s new Senior Managers Regime (SMR) came into force for banks following a lengthy and extensive consultation


Whistleblowing Toolkit
  • Dentons
  • United Kingdom
  • August 9 2016

In October last year, the FCA and PRA published policy statements containing new rules on whistleblowing. These are designed to encourage a culture


Financial Markets Disputes and Regulatory Update
  • Dentons
  • United Kingdom
  • July 6 2016

It is often difficult to identify common themes arising from judgments that happen to be handed down at the same time, and the first half of 2016 has


Committee warns over mis-selling risks
  • Dentons
  • United Kingdom
  • May 20 2016

The Public Accounts Committee has warned of the continuing risks of mis-selling of financial products. It is disappointed both that FCA and FOS have


Select committee doubts 2025 EMU
  • Dentons
  • United Kingdom
  • May 20 2016

The House of Lords Select Committee on EU financial affairs has expressed doubt that economic and monetary union (EMU) can happen by the 2025 target


FCA opens sandbox to applications
  • Dentons
  • United Kingdom
  • May 13 2016

FCA has opened its regulatory sandbox application process. Eligible firms can apply until 8 July to be in the first cohort of the sandbox. It plans