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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 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 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


Financial Regulatory Developments 3rd January - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • January 3 2014

FCA has fined JLT Specialty Limited £1,876,000 for failing to have in place appropriate checks and controls to guard against the risk of bribery or


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 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


Government confirms DPA introduction
  • Dentons
  • United Kingdom
  • October 26 2012

The Government has confirmed it will introduce deferred prosecution agreements (DPAs) as a new tool in economic crime cases


More FSA criminal investigation into insider dealing
  • Dentons
  • United Kingdom
  • January 25 2013

The police have arrested five people in connection with an insider dealing investigation led by FSA. No charges have yet been filed against them


FATF publishes plenary results
  • Dentons
  • Global
  • October 26 2012

FATF has published the results of its latest plenary meeting


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