Financial Markets Awareness: Practical Legal Insight
Articles: 1-10 of 233
A ‘Fundamental Shift’ in Financial Regulation - Further FCA Consultation on New Consumer Duty
United Kingdom - January 11 2022 2022 looks set to be a busy year for regulated firms dealing with retail customers. Following its initial consultation in May 2021, on 7 December 2021…
The FCA Perimeter Report 2020/21 - Key Points for Firms
European Union, United Kingdom - December 1 2021 The scope of the FCA’s powers and remit is not a simple matter, as the FCA readily acknowledges. The FCA’s regulatory “perimeter” derives primarily…
PRA increases pressure on firms to improve regulatory reporting processes
United Kingdom - October 21 2021 The Prudential Regulation Authority (PRA) recently a Dear CEO letter titled “Thematic Findings on the reliability of the regulatory reporting“…
FOS warns on scam complaints - are banks doing enough?
United Kingdom - October 7 2021 The Financial Ombudsman Service has noted a “dramatic rise” in complaints by consumers concerning financial scams and fraud. With the hope of embuing…
A shot in the dark? Claims against “persons unknown”
United Kingdom - October 4 2021 A recent judgment in an area which might seem far removed from financial services throws a spotlight on how financial institutions deal with the…
Greater Diversity and Inclusion on Listed Company Boards: FCA Proposals
United Kingdom - September 17 2021 The Financial Conduct Authority has issued a Consultation Paper, which proposes new disclosure rules with a view to improve diversity and inclusion…
LCF mini-bond holders withdraw appeal against FSCS
United Kingdom - September 2 2021 The Financial Services Compensation Scheme (FSCS) confirmed on 23 August that London Capital and Finance (LCF) mini-bond holders have withdrawn their…
FCA Business Plan 2021/22 - transformation, accountability, and regulatory priorities for the coming year
European Union, United Kingdom - August 31 2021 The FCA’s annual business plan is a closely watched indicator of what we can expect from the regulator in the coming year. The recently published…
Compulsory ADR - Coming soon to a dispute near you?
United Kingdom - August 9 2021 Alternative dispute resolution (or “ADR”) has long played an important role in dispute resolution. A recent report by the Civil Justice Council (the…
Bank did not breach duties in loan renegotiation
United Kingdom - August 6 2021 In December 2006, Mr Morley, a commercial property developer, entered into a £75m, three-year loan with Royal Bank of Scotland plc to refinance his…
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