Financial Markets Awareness: Practical Legal Insight
Articles: 1-10 of 238
Banks’ Quincecare duty in APP fraud Cases potentially extended
United Kingdom - May 4 2022 In March the Court of Appeal overturned an earlier High Court judgment and held that the application of Quincecare duty does not depend on the fact…
Cryptoasset firms and sanctions
Russia, United Kingdom - March 23 2022 The FCA has stressed recently that it expects the cryptoasset sector to play its part in ensuring that Russian sanctions are complied with, and…
High-risk investments: FCA consults on strengthening financial promotion rules
United Kingdom - March 21 2022 The FCA perceives that since the start of the COVID-pandemic there has been a rapid growth in the proportion of consumers holding high‑risk…
FCA consults on guidance for firms who seek to limit their liabilities
United Kingdom - February 16 2022 The Financial Conduct Authority has published proposed guidance on the use by firms of compromises to manage their liabilities. Compromises include…
FCA stepping up competition law enforcement
United Kingdom - February 7 2022 The UK’s Financial Conduct Authority (FCA) is stepping up competition law enforcement in the financial sector, over which it has concurrent…
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…
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