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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


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


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


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


Financial Regulatory Developments 18 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 18 2014

FCA has published a review of how firms use dealing commission. It found too few firms properly consider the added value and cost of research paid


Financial Regulatory Developments 6 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 6 2015

FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees (IGCs). IGCs will represent the interests


MoUs between regulators published
  • Dentons
  • United Kingdom
  • April 5 2013

Several Memoranda of Understanding (MoUs), providing the framework for co-operation under the new financial regulatory structure, have been published


FCA and PRA rules published
  • Dentons
  • United Kingdom
  • March 15 2013

FSA has made a suite of instruments creating the PRA and FCA Handbooks and published a number of guides on using the new rules. The FSA website now


Financial Regulatory Developments 10 October - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • October 10 2014

FCA has published details of its agreement with Wonga that requires Wonga to make significant changes to its business immediately. Wonga agreed to