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Results: 1-10 of 108

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 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


Tribunal upholds FSA decision to fine firm for market manipulation
  • Dentons
  • United Kingdom
  • February 1 2013

The Tribunal has upheld FSA's decision to levy an £8 million fine on Swift Trade for "layering". This is the highest fine ever for market


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


Complaints Commissioner finds FSA maladministration not direct cause of losses
  • Dentons
  • United Kingdom
  • October 26 2012

The Complaints Commissioner has found that, despite a serious administrative error by FSA, this was not the direct cause of a claimant’s loss


Government confirms DPA introduction
  • Dentons
  • United Kingdom
  • October 26 2012

The Government has confirmed it will introduce deferred prosecution agreements (DPAs) as a new tool in economic crime cases


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


FSCS comments on MF Global
  • Dentons
  • United Kingdom
  • February 1 2013

FSCS has commented on the latest judgment in MF Global. The Court has ruled that the principle of hindsight does not apply to determination of client


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