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Results: 1-10 of 147

Financial Litigation roundup - Winter 2015
  • RPC
  • Hong Kong, Singapore, United Kingdom
  • December 17 2015

The High Court clarified the duties owed by financial institutions when providing regulated investment advice and conducting subsequent reviews of


FCA publish draft guidance on cloud services
  • RPC
  • United Kingdom
  • November 30 2015

The FCA has recently published draft guidance for firms outsourcing to the cloud and other third party IT services. This comes as part of the FCA's


Challenging decisions about authorisation
  • RPC
  • United Kingdom
  • November 16 2015

Rather than wait for newly authorised consumer credit firms to slip up and give the Financial Conduct Authority (FCA) reason to take enforcement


FCA fines finance director for failing to blow the whistle
  • RPC
  • United Kingdom
  • September 30 2015

Approved persons should be open and co-operative with their regulators, as highlighted by the FCA's recent enforcement action against Craig McNeil, former Keydata finance director


New FCA Handbook and FS register: welcome to the 21st century
  • RPC
  • United Kingdom
  • September 11 2015

The FCA has updated and consolidated its Handbook and FS register. The changes not only include a much-needed facelift but also some useful new


FCA's new referral criteria: are they really that transparent?
  • RPC
  • United Kingdom
  • August 14 2015

An updated set of enforcement referral criteria has been published by the FCA in response to recommendations made by HM Treasury at the end of last


Complaints handling: key amendments announced by the FCA
  • RPC
  • United Kingdom
  • August 7 2015

Our recent blog highlighted the key changes made to DISP rules by the ADR Directive. The FCA has since published the responses to its complaints


New financial super court to further enhance London's profile as a financial dispute hub
  • RPC
  • United Kingdom
  • July 16 2015

After a period of consultation, the Lord Chief Justice announced at his Mansion House speech on 8 July 2015 that a new specialist list dealing with


Claims handling review could lead to past business reviews
  • RPC
  • United Kingdom
  • May 29 2015

The FCA's report on its thematic review into claims handling in the SME market highlights shortcomings but with reassuringly little sabre rattling


Professional indemnity insurance for financial advice: is the market broken?
  • RPC
  • United Kingdom
  • April 1 2015

In yesterday's New Model Adviser, Mark Neale has urged advisers to put pressure on professional indemnity insurers to fix a market he has described