We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 210

Introducers & Inappropriate Influence
  • RPC
  • United Kingdom
  • August 8 2016

Last week must have been a busy one for those working at the FCA. Not only did we have the recent announcement regarding likely forthcoming changes to


FCA finds shortcomings in principal firms' control and oversight of their ARs
  • RPC
  • United Kingdom
  • August 3 2016

The Financial Conduct Authority's (FCA's) thematic review of principal firms and their appointed representatives (ARs) has identified significant


FCA finds shortcomings in control and oversight of principals and their ARs
  • RPC
  • United Kingdom
  • August 2 2016

The Financial Conduct Authority's (FCA) report on its thematic review of principal firms and their appointed representatives (ARs) has identified


How would a Brexit affect financial services regulation in the UK?
  • RPC
  • European Union, United Kingdom
  • June 6 2016

Financial services is one of the UK's most important sectors, contributing over £126bn to the UK economy and representing 10 of GDP. The key


Investor sets-up advisory duty against bank
  • RPC
  • Hong Kong
  • June 3 2016

As we have reported in previous editions of this Financial Litigation briefing, investors have generally had a hard time pursuing so-called


FCA Focus on Suitability
  • RPC
  • United Kingdom
  • May 13 2016

Have you received a request from the FCA for your suitability reports recently? If so, you're in good company. Hundreds of IFA firms received a


Investor's claim sets up advisory duty
  • RPC
  • Hong Kong
  • April 26 2016

The courts in Hong Kong have generally been consistent in rejecting investors' mis-selling claims and in upholding the banks' reliance on the


FCA to allow FOS and FSCS claims over P2P advice
  • RPC
  • United Kingdom
  • March 24 2016

Consumers who receive advice on peer-to-peer lending should have recourse to FOS and the FSCS, the FCA confirmed this week. Previously, investors


CMC fees: money for nothing?
  • RPC
  • United Kingdom
  • March 3 2016

Do regulated Claims Management Companies charge too much in fees for consumers making financial services claims? The Ministry of Justice wants your


FCA may not be value for money, says NAO
  • RPC
  • United Kingdom
  • March 1 2016

The National Audit Office has reported its findings on the roles and effectiveness of the FCA, FOS and the FSCS in the management of mis-selling cases