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Results: 1-10 of 636

Financial Regulatory Developments 31 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 31 2015

FCA has made new rules: extending the "next business day rule", that allows firms to handle complaints less formally, without sending a final


Financial Regulatory Developments 17 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 17 2015

FCA has published the results of its review of advice and distribution under the Mortgage Market Review (MMR). It looked at the quality of advice


Financial Regulatory Developments 3 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 3 2015

FCA has published the notes from a round table it held on UK implementation of the second Markets in Financial Instruments Directive (MiFID 2), where


Financial Regulatory Developments 26 June - Financial Ombudsman Service (FOS)
  • Dentons
  • United Kingdom
  • June 26 2015

The June edition of "Ombudsman News" contains an interview with Garry Wilkinson, principal ombudsman and director of new services at FOS on the


Financial Regulatory Developments 19 June - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • June 19 2015

FCA's latest policy development update promises, by the end of the summer: a policy statement on fees; a consultation paper on fair, reasonable and


Financial Regulatory Developments 12 June -Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • June 12 2015

FCA has fined three members of Lloyds Banking Group a record retail fine of £117 million for failing to treat customers fairly in their handling of


Financial Regulatory Developments 22 May - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • May 22 2015

Andrew Bailey, CEO of PRA, has spoken on the role of financial markets and non-bank institutions in the recent financial crisis and the important


Financial Regulatory Developments 22 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 22 2015

FCA has levied a record £284,432,000 fine on Barclays Bank Plc (Barclays) for failing to control business practices in its London FX business. FCA


Financial Regulatory Developments 1 May - Investment Association (IA)
  • Dentons
  • United Kingdom
  • May 1 2015

IA has published a Statement of Principles for investment managers. The Statement outlines what having responsibility for managing other people's


Financial Regulatory Developments 24 April - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • April 24 2015

FCA has fined Merrill Lynch International £13,285,900 for transaction reporting failures. It found that over a seven-year period the firm incorrectly