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Results: 1-10 of 122

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


The not so remote risks of recommendations
  • Dentons
  • United Kingdom
  • September 20 2012

Those with an interest in the extent to which banks can be held liable for failed investments which they have sold will already be familiar with the case of Rubenstein v. HSBC Bank plc 2011 EWHC 2304 (QB), decided at first instance last year


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


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 17 April - Upper Tribunal (Tribunal)
  • Dentons
  • United Kingdom
  • April 17 2014

The Tribunal has backed FCA's decision to fine Amir Khan £80,000 for various dishonest activities relating to mortgage applications. FCA also banned


Court backs firm on duties to clients
  • Dentons
  • United Kingdom
  • February 11 2011

The High Court has backed two regulated firms in a case brought by an individual and a trust of which he was trustee


Tribunal backs market abuse fine
  • Dentons
  • United Kingdom
  • October 22 2010

The Financial Services and Markets Tribunal has decided it was appropriate for FSA to impose a financial penalty on Andre Jean Scerri


Financial Regulatory Developments 25 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 25 2014

FCA has: published the results of its thematic review into offers of enhanced transfer values (ETVs) when financial advisers try to persuade


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