Puesan Lam

DLA Piper

Articles

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No more passporting post-Brexit?

European Union, United Kingdom - July 27 2016 UK authorised financial institutions (banks, investment firms, fund managers, insurers, insurance intermediaries payment institutions and e-money…

Queenie Chan, Tony Katz, Michael McKee, Sam Millar.

FCA to strengthen financial promotions rules for high-risk investments

United Kingdom - July 15 2021 The FCA’s is considering what changes it should make to its financial promotion rules to help retail investors make more effective…

Tony Katz.

First FCA fine against a claims management company

United Kingdom - December 18 2019 On 17 December 2019, the FCA published a Final Notice fining Professional Personal Claims Limited (PPC) GBP70,000 for failures relating to PPI…

Tony Katz.

A new Consumer Duty of care briefing

United Kingdom - June 4 2021 Following on from its 2018 discussion paper (DP 18/5) and subsequent feedback statement (FS 19/02); and in reaction to the…

Charles Harvey, Zoë Jensen, Tony Katz, Sophie Lessar.

FCA to strengthen financial promotions rules for high-risk investments

United Kingdom - July 15 2021 The FCA is considering what changes it should make to its financial promotion rules to help retail investors make more effective decisions (see…

Tony Katz.