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Results: 1-10 of 82

Financial Regulatory Developments 9 January - Presidency of the Council of the EU (Presidency)
  • Dentons
  • European Union
  • January 9 2015

The Latvian Presidency has published its programme for the next six months. Among its priorities are:addressing capital market union; progressing


EP updates voting dates
  • Dentons
  • European Union
  • July 19 2013

The EP's legislative observatory (OEIL) has updated the following voting forecasts: the Directive on criminal sanctions for insider dealing and


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


EU regulatory reform: the past six months
  • Dentons
  • European Union
  • July 30 2014

It seems a long time since the global agreement on the need for radical reform of financial services regulation in the wake of the financial crisis


Financial Regulatory Developments 7 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 7 2014

FCA has published a policy statement confirming its new rules which: ban new referral payments from a discretionary investment manager (DIM) to an


Financial Regulatory Developments 7 February - European Commission (Commission)
  • Dentons
  • European Union, USA
  • February 7 2014

The Commission has published its first EU anti-corruption report. The report looks at each Member State's laws and practices, analysing how well they


Financial Regulatory Developments 7 February - European Parliament (EP)
  • Dentons
  • European Union
  • February 7 2014

EP has approved CSMAD by a large majority vote. It commented that, among other things, a number of offences relating to insider dealing, market abuse


More FSA criminal investigation into insider dealing
  • Dentons
  • United Kingdom
  • January 25 2013

The police have arrested five people in connection with an insider dealing investigation led by FSA. No charges have yet been filed against them


IMA responds to FSA ABC guidance
  • Dentons
  • United Kingdom
  • May 11 2012

IMA’s response to FSA’s proposed changes to the Financial Crime Guide focuses on certain requirements that suggest an absolute duty on firms to identify items that may not be apparent or reasonable for them to find


FSA fines and bans wealth manager over UCIS
  • Dentons
  • United Kingdom
  • June 1 2012

FSA has fined Patrick O'Donnell of P3 Wealth Management Limited £60,000 for advising clients to invest in unsuitable products