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Results: 1-10 of 1,125

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


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


Outsourcing for asset managers
  • Dentons
  • European Union
  • February 16 2015

It is increasingly difficult for firms easily to check which of the myriad rules on outsourcing in financial services apply to them. Rosali Pretorius


MiFID 2: ESMA's second set of RTS
  • Dentons
  • European Union
  • September 29 2015

The MiFID 2 package takes effect (with a few exceptions) from 3 January 2017. We still await key technical measures. Following ESMA's discussion


The EU's MiFID 2: communicating with clients
  • Dentons
  • European Union
  • February 16 2015

The EU’s Markets in Financial Instruments Directive reform package, comprising a new Markets in Financial Instruments Directive and a new Markets in


Financial Regulatory Developments 6 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 6 2015

FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees (IGCs). IGCs will represent the interests


Financial Regulatory Developments 13 June - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • June 13 2014

ESMA has published the text of a new multilateral memorandum of understanding (MMoU) between EEA national competent authorities, and between national


MiFID 2: advising clients independence, suitability and appropriateness
  • Dentons
  • European Union
  • September 14 2015

MiFID 1 now seems simplistic in terms of its provisions surrounding advice to clients, although, at the time it was agreed and implemented, it caused


Firms receive FCA classifications
  • Dentons
  • United Kingdom
  • March 22 2013

FSA has written to firms explaining: FCA's approach to supervision; the firm's conduct and prudential category; what this means for the firm


FSA gets land-banking victory
  • Dentons
  • United Kingdom
  • February 15 2013

The High Court has supported FSA in holding that David Banner-Eve, Stuart Cohen, Asset Land Investment Plc and Asset L.I. Inc operated a collective