Puesan Lam

DLA Piper

Articles

Results 11 to 15 of 15


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 Publishes Final Rules on Strengthening Accountability in Banking

United Kingdom - February 19 2016 On 4 February 2016, the FCA set out further final rules on the Senior Managers Regime (PS16/3: Strengthening Accountability in Banking - Feedback on…

Michael McKee, Katerina Papapanagiotou

Financial services regulation - in focus - 19 Oct 2015

United Kingdom - October 19 2015 The Parliamentary Commission on Banking Standards' (PCBS) 2013 report 'Changing Banking for Good' raised a number of issues surrounding professional…

Tony Katz, Michael McKee, Sam Millar

UK government plans to extend new senior managers and certificate regimes to all UK regulated firms

United Kingdom - October 19 2015 The initial reception to the new senior managers and certification regime (SM & CR) for banks building societies and PRA-designated investment firms…

Tony Katz

The fair and effective markets review recommendations to strengthen UK regulation of FICC markets and individual accountability

United Kingdom - June 25 2015 In the wake of a number of recent high profile LIBOR and Forex market abuses, the Chancellor of the Exchequer and the Governor of the Bank of England…

Tony Katz, Sam Millar