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Commission plans conglomerates supervisory changes
  • Dentons
  • European Union
  • August 20 2010

The Commission has published its plans for a revised Financial Conglomerates Directive (FCD


FSA fines three investment firms for client money breaches
  • Dentons
  • United Kingdom
  • June 11 2010

Following its series of reminders to firms on the importance of complying with its client money rules, FSA has published details of fines on three firms


Commission welcomes CRD progress
  • Dentons
  • European Union
  • May 8 2009

Charlie McCreevy is pleased there is appetite for a first reading approval of the Community Programme to support activities in the field of financial services, financial reporting and auditing


FSA helps find a boiler room
  • Dentons
  • United Kingdom
  • May 8 2009

FSA has worked with UK police forces as part of a Europe-wide investigation into share fraud and boiler room activities which have led to £28 million losses for investors


FSSC fails to meet standards
  • Dentons
  • United Kingdom
  • May 15 2009

FSSC has not been relicensed by the UK Government and the Devolved Administrations


FSA calls for better checks on senior management
  • Dentons
  • United Kingdom
  • May 15 2009

Hector Sants, speaking to the SII, outlined changes FSA is making to how it judges the competence of firms’ senior management as well as their probity


Commission on the conference circuit
  • Dentons
  • European Union
  • May 15 2009

Charlie McCreevy spoke:to the European Parliament on the future of EU financial supervision


FSA fines Morgan Stanley and bans trader over mis-marking
  • Dentons
  • United Kingdom
  • May 15 2009

FSA has fined Morgan Stanley £1.4 million for systems and controls failures in relation to trader mis-marking


Hedge funds after the crisis
  • Dentons
  • Global, United Kingdom
  • May 12 2009

Regulators worldwide have been busy over the last few months taking emergency measures to address the financial crisis


Commission publishes summary of de Larosiere responses
  • Dentons
  • European Union
  • May 22 2009

The Commission has published a summary of responses it received to the de Larosiere report