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Results: 1-10 of 171

Claims handling review could lead to past business reviews
  • RPC
  • United Kingdom
  • May 29 2015

The FCA's report on its thematic review into claims handling in the SME market highlights shortcomings but with reassuringly little sabre rattling

Is credible deterrence really working? And other questions arising from a mixed week for the FCA
  • RPC
  • United Kingdom
  • May 28 2015

Even though the FCA was able to trumpet that it had imposed its highest ever fine and that it had been successful in two decisions handed down by the

Meaning of information of a precise nature in market abuse clarified by ECJ
  • RPC
  • European Union, France
  • May 27 2015

Following a recent ECJ decision, the definition of 'inside information' for the purposes of the EU's market abuse regime has been widened. In Lafonta

Financial litigation roundup - Spring 2015
  • RPC
  • European Union, Hong Kong, Singapore, United Kingdom
  • May 26 2015

The High Court clarifies the position regarding liability of investment managers, applying established legal principles of agency and inducement

Still no joy for investors' mis-selling claims
  • RPC
  • Hong Kong
  • May 18 2015

In the latest alleged mis-selling case in Hong Kong, the Court of First Instance maintained a consistent approach with other recent cases, rejecting

FCA authorisation team should share its findings from P2P applications
  • RPC
  • United Kingdom
  • May 15 2015

The FCA's authorisation process is quite opaque and does not give the regulator much latitude to comment upon individual applications. Consequently

New Senior Managers' regimes to kick off in early March 2016
  • RPC
  • United Kingdom
  • March 10 2015

The FCA and PRA have taken their most significant step to date in the relentless pursuit of greater accountability of senior management and the

Competing agendas? How the FCA, PSR and CMA plan to work together
  • RPC
  • United Kingdom
  • March 4 2015

In mid-February, the UK investment and corporate banking sector braced itself for yet another regulatory investigation, as the FCA announced its plans

Simplified, retrospective and still inconsistent
  • RPC
  • United Kingdom
  • January 23 2015

Despite laudable aims, yesterday's FCA guidance on what constitutes regulated advice was published alongside a report on the (perceived

Financial litigation roundup - Autumn 2014
  • RPC
  • Hong Kong, Singapore, United Kingdom
  • December 3 2014

The High Court found that the defendants, Barclays and Tricorona, had misused the claimant, CF Partners’, confidential information and awarded