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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


Financial Regulatory Developments 11 April - Cases
  • Dentons
  • United Kingdom
  • April 11 2014

The High Court has held a preliminary hearing in a case FCA brought against the promoters and operators of four investment schemes. The question was


Financial Regulatory Developments 1 August - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • August 1 2014

FCA has fined Lloyds Bank and Bank of Scotland (BoS) £105 million for failings relating to LIBOR and other benchmarks. The fines cover: £70 million


Court denies client money protection for incorrectly held funds
  • Dentons
  • United Kingdom
  • April 17 2009

The court has held that clients of a broker whose money should have been in a segregated client account, but by mistake was not, could not have client money protection on the broker’s liquidation


FSA gets injunction against market manipulation
  • Dentons
  • United Kingdom
  • September 9 2011

FSA has obtained a High Court injunction to prevent a number of manipulative “layering” activities it believes several companies and individuals were involved in between August 2010 and July 2011


Tribunal finds censure appropriate in market abuse case
  • Dentons
  • United Kingdom
  • September 9 2011

The Tribunal has found in favour of Jason Geddis, who FSA had fined for market abuse


FSA gets High Court injunction against market abuse
  • Dentons
  • United Kingdom
  • May 27 2011

FSA has fined Samuel Kahn over £1 million and, for the first time, obtained a court order restraining an individual from committing market abuse


FCA confirms SSR notification process
  • Dentons
  • United Kingdom
  • June 7 2013

FCA has published a note confirming how firms and investors should make notifications to it under the SSR. (Source: FCA Confirms SSR Notification


FSA obtains conviction for insider dealing
  • Dentons
  • United Kingdom
  • November 23 2012

FSA has obtained a conviction for Thomas Ammann for two counts of insider dealing


Financial Regulatory Developments 23 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 23 2014

FCA has carried out a review of consumer credit advertising and has told firms to raise their standards. It surveyed a sample of advertisements and