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Results: 1-10 of 82

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 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 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 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


EP updates voting dates
  • Dentons
  • European Union
  • July 19 2013

The EP's legislative observatory (OEIL) has updated the following voting forecasts: the Directive on criminal sanctions for insider dealing and


Three sentenced to jail for £27.5 million boiler room scam
  • Dentons
  • United Kingdom
  • August 25 2011

FSA announced that three men have been sentenced to a total of 19 years in jail for boiler room fraud following a long-running and detailed investigation by FSA, the City of London Police and Eurojust


Wolfsberg updates anti-corruption guidance
  • Dentons
  • Global
  • August 25 2011

The Wolfsberg Group has published an updated and expanded version of its 2007 guidance on prevention of corruption


Financial Regulatory Developments 20 June - Presidency of the EU Council (Presidency)
  • Dentons
  • European Union
  • June 20 2014

The Presidency published a note on its recommendation that the latest compromise text for the fourth Money Laundering Directive (MLD4) be agreed


Financial Regulatory Developments 20 June - HM Treasury (Treasury)
  • Dentons
  • United Kingdom
  • June 20 2014

In this year's Mansion House speech, key announcements were: the Fair and Effective Markets Review, a comprehensive review of standards in the fixed


EP updates voting dates
  • Dentons
  • European Union
  • November 2 2012

The OEIL legislative observatory has updated the voting dates for the Regulation and Directive amending the Market Abuse Directive (MAR and CSMAD): the indicative plenary sitting date is 11 March 2013, following the committee reports being tabled for plenary