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Michael Wainwright

Dentons

Articles

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Regulatory Developments: Senior managers regime, certification regime and conduct rules (SMCR)

United Kingdom - January 16 2018 Individual Accountability: Extending the Senior Managers & Certification Regime to all FCA firms, and extending the SMCR to Insurers Consultation...

Adrian Magnus, Daren Allen, Celyn Armstrong, Craig Neilson, Katharine Harle.

Regulatory Developments: Final notices

United Kingdom - January 16 2018 The Financial Conduct Authority (FCA) has reached a settlement with Merrill Lynch International (MLI), under which it has imposed a fine of £34,524...

Adrian Magnus, Daren Allen, Celyn Armstrong, Craig Neilson, Katharine Harle.

Regulatory Developments: Benchmarks

United Kingdom - January 16 2018 The FCA consulted on the way in which it would use its powers under FSMA (sections 55L, 137A and 137F) or the Benchmarks Regulation (BMR) to compel...

Adrian Magnus, Daren Allen, Celyn Armstrong, Craig Neilson, Katharine Harle.

Regulatory Developments: Asset management

United Kingdom - January 16 2018 The final report of the AMMS is extensive, and will have been pored over in some detail by those in the sector. It emphasises the importance of the...

Adrian Magnus, Daren Allen, Celyn Armstrong, Craig Neilson, Katharine Harle.

Regulatory Developments: AML

United Kingdom - January 16 2018 The FCA has finalised its guidance on how firms should approach politically exposed persons (PEPs), their families and known close associates. The...

Adrian Magnus, Daren Allen, Celyn Armstrong, Craig Neilson, Katharine Harle.