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Results: 1-10 of 256

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


Financial Regulatory Developments 12 June -Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • June 12 2015

FCA has fined three members of Lloyds Banking Group a record retail fine of £117 million for failing to treat customers fairly in their handling of


Unfair contract terms: "read and understood" declarations
  • Dentons
  • United Kingdom
  • January 28 2009

Under the Unfair Terms in Consumer Contracts Regulations 1999 (the Regulations), FSA has the power to challenge FSA-regulated firms that are using terms which they view as unfair


Financial Regulatory Developments 2 April - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • April 2 2015

FCA has published its policy statement and its made rules arising from four consultation papers on Solvency 2. The changes, and made rules, cover


Complying with sanctions laws: JMLSG takes action
  • Dentons
  • United Kingdom
  • June 21 2010

Regulators are keeping up the pressure on financial institutions to comply with all anti-financial crime laws


FSA warns firms on poor sanctions procedures
  • Dentons
  • United Kingdom
  • May 1 2009

FSA has published a report following a review of industry practices on complying with the UK financial sanctions regime


UK financial sanctions: the regime and the regulator
  • Dentons
  • United Kingdom
  • June 12 2009

Compliance with financial sanctions has made its way up the UK financial regulatory agenda


Financial Regulatory Developments 5 September - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • September 5 2014

FCA has fined Deutsche Bank £4,718,800 for incorrectly reporting transactions from the date of implementation of the Markets in Financial Instruments


Financial Regulatory Developments 23 January - Financial Services Consumer Panel (FSCP)
  • Dentons
  • United Kingdom
  • January 23 2015

FSCP has published a position paper on its concerns about the recast Insurance Mediation Directive (now known as the Insurance Distribution Directive


Financial Regulatory Developments 13 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 13 2015

FCA has announced three new Chairs for its independent Practitioner Panels. The appointments come into effect from 1 April. The new Chairs are: FCA