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Results: 1-10 of 175

FCA's new referral criteria: are they really that transparent?
  • RPC
  • United Kingdom
  • August 14 2015

An updated set of enforcement referral criteria has been published by the FCA in response to recommendations made by HM Treasury at the end of last


Complaints handling: key amendments announced by the FCA
  • RPC
  • United Kingdom
  • August 7 2015

Our recent blog highlighted the key changes made to DISP rules by the ADR Directive. The FCA has since published the responses to its complaints


New financial super court to further enhance London's profile as a financial dispute hub
  • RPC
  • United Kingdom
  • July 16 2015

After a period of consultation, the Lord Chief Justice announced at his Mansion House speech on 8 July 2015 that a new specialist list dealing with


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