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The compliance function under MiFID 2
  • Dentons
  • European Union
  • June 17 2015

Previous articles in our MiFID 2 series have considered the effects of MiFID 2 on dealings with customers, and on transparency. This third article


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 19 June - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • June 19 2015

ESMA published its 2014 annual report and announced its new strategy for 2016-20. The annual report outlines ESMA's achievements for the past year in


Financial Regulatory Developments 19 June - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • June 19 2015

IOSCO has published a report titled "Credible Deterrence", which identifies key enforcement factors that may deter misconduct in international


Financial Regulatory Developments 12 June - European Banking Authority (EBA)
  • Dentons
  • European Union
  • June 12 2015

EBA has published an update to its Risk Dashboard showing the main risks and vulnerabilities in the EU banking sector in Q4 2014. The dashboard shows


MiFID 2: ESMA publishes first technical advice
  • Dentons
  • European Union
  • December 23 2014

The European Securities and Markets Authority (ESMA) published the follow-up papers to its summer consultations on the revised Markets in Financial


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


Life under dual-regulation: how banks should adapt to the PRA
  • Dentons
  • United Kingdom
  • March 25 2013

The Financial Services Act 2012 (FS Act) received Royal Assent just before Christmas 2012 and will, for the most part, take effect on 1 April 2013


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


Unfair contract terms: "read and understood" declarations
  • Dentons
  • United Kingdom
  • January 28 2009

Under the Unfair Terms in Consumer Contracts Regulations 1999 (the Regulations), FSA has the power to challenge FSA-regulated firms that are using terms which they view as unfair