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Results: 1-10 of 126

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


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


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


Court orders payment by boiler room launderer
  • Dentons
  • United Kingdom
  • December 14 2012

The Crown Court has ordered Michael McInerney, jailed for 4.5 years for his role in a boiler room share scam, to pay £320,882


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


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


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


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 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 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