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Results: 1-10 of 220

FCA consults about delaying disclosure of inside information
  • RPC
  • United Kingdom
  • December 1 2016

The FCA has issued a consultation on amendments it proposes to make to the Disclosure and Transparency Rules section of the FCA Handbook. The FCA


High Court considers validity and timing of contractual notices in close-out procedures
  • RPC
  • United Kingdom
  • November 8 2016

In Lehman Brothers International (Europe) (in Administration) v Exxonmobil Financial Services BV(1) the High Court considered a range of issues


Third Party Rights and the SMR and SIMR: the regulators' Achilles' heel?
  • RPC
  • United Kingdom
  • October 26 2016

The FCA has recently gone to the Supreme Court in an attempt to overturn a significant ruling in relation to third party rights. This could have


Insurance Europe argues draft delegated acts must be consistent with IDD
  • RPC
  • European Union, United Kingdom
  • October 19 2016

Insurance Europe has expressed concern that the level 2 delegated acts for the Insurance Distribution Directive do not respect the original agreed


NEDs to be subject to FCA's Code of Conduct
  • RPC
  • United Kingdom
  • October 5 2016

The FCA has announced plans to extend the application of the Code of Conduct Sourcebook to standard NEDs in banks and insurers. These changes will


A new and better approach to claims against financial adivers?
  • RPC
  • United Kingdom
  • October 3 2016

A Judge has found in favour of Coutts in a claim for negligent investment advice for just under £3.3m plus interest. The Judge's findings are of


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