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Results: 1-10 of 82

Financial Regulatory Developments 5 December - Council of the European Union (Council)
  • Dentons
  • European Union
  • December 5 2014

The Presidency has published its compromise response to the proposal for a Regulation on money market funds (MMFs). It has proposed significant


Financial Regulatory Developments 31 October - Joint Money Laundering Steering Group (JMLSG)
  • Dentons
  • Global
  • October 31 2014

JMLSG is consulting on changes to its sectoral guidance on prevention of money laundering in the fundraising and investment activities of private


Financial Regulatory Developments 20th December - HM Treasury (Treasury)
  • Dentons
  • United Kingdom
  • December 20 2013

Treasury has renewed designations under the Terrorist Asset Freezing etc Act. It has also updated the sanctions lists in relation to Al-Qaida and


Financial Regulatory Developments 22 May - European Parliament (EP)
  • Dentons
  • European Union
  • May 22 2015

EP approves benchmarks Regulation: EP has approved the draft Regulation designed to curb conflicts of interest in the benchmark setting process. The


Treasury publishes ML NRA
  • Dentons
  • United Kingdom
  • October 16 2015

Treasury has released its first national risk assessment (NRA) on the domestic risks of money laundering (ML) and terrorist financing within the


Financial Regulatory Developments 10 October - Council of the European Union (Council)
  • Dentons
  • European Union
  • October 10 2014

The Council has published a table it received from the European Parliament setting out the list of files that are unfinished. Parliament has divided


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


Financial Regulatory Developments 28 March - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • March 28 2014

FCA has published a thematic review looking at whether firms that describe their services as "independent" under the post-Retail Distribution Review


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


Further arrest in FSA unauthorised scheme investigation
  • Dentons
  • United Kingdom
  • June 1 2012

A man has been arrested as part of FSA’s investigation into a suspected unauthorised foreign exchange trading scheme