We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 82

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


ISSA publishes background to compliance principles
  • Dentons
  • Global
  • October 16 2015

ISSA has published a background and overview document to introduce financial institutions to its Financial Crime Compliance Principles (see FReD 18


Financial Regulatory Developments 23 May - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • May 23 2014

FCA has carried out a review of consumer credit advertising and has told firms to raise their standards. It surveyed a sample of advertisements and


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


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


Financial Regulatory Developments 16 May - Council of the EU (Council)
  • Dentons
  • European Union
  • May 16 2014

The Council has formally adopted the revised Markets in Finaincal Instruments Directive (MiFID 2) and Regulation (MiFIR). As noted in previous


FSA publishes John Blake final notice
  • Dentons
  • United Kingdom
  • October 19 2012

Following the withdrawal of his referral of the case to the Upper Tribunal, FSA has confirmed the fine and ban on John Blake


Financial Regulatory Developments 28 February - European Parliament (EP)
  • Dentons
  • European Union
  • February 28 2014

The Economic Affairs and the Justice and Home Affairs committees in EP have approved (MLD4). They focused on the new requirement for public listing


EBA publishes responses to ESAs AMLCTF guidelines
  • Dentons
  • European Union
  • February 5 2016

EBA has published the responses received to the European Supervisory Authorities' (ESAs - ESMA, EBA and EIOPA jointly) two sets of anti-money


Commission formalises MiFID 2 delay proposal
  • Dentons
  • European Union
  • February 12 2016

The Commission has published its proposal to extend every implementation date in the revised Markets in Financial Instruments Directive (MiFID 2) and