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Results: 1-10 of 52

Financial Regulatory Developments 7 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 7 2014

FCA has published a policy statement confirming its new rules which: ban new referral payments from a discretionary investment manager (DIM) to an


Financial Regulatory Developments 31 January - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • January 31 2014

IOSCO has announced that the Indonesian Financial Services Authority has become the 100th signatory to the IOSCO Multilateral Memorandum of


FCA consults on retail referrals
  • Dentons
  • United Kingdom
  • July 12 2013

FCA is consulting on rules to clarify its application of the Retail Distribution Review (RDR) rules to referrals to discretionary investment


FSA fines firm and compliance officer for client money breaches
  • Dentons
  • United Kingdom
  • May 4 2012

FSA has fined Christchurch Investment Management Limited (the firm) £26,000 and its former compliance officer David Thornberry £11,550 for breaches of its client money rules


FSA speaks on RDR
  • Dentons
  • United Kingdom
  • April 20 2012

Linda Woodall has spoken on how firms should be getting ready for implementation of the Retail Distribution Review (RDR) requirements


APCIMS responds on advice guidance
  • Dentons
  • United Kingdom
  • April 13 2012

APCIMS has responded to FSA’s guidance consultation on independent and restricted advice under the Retail Distribution Review (RDR


FSA consults further on emissions allowances
  • Dentons
  • United Kingdom
  • March 23 2012

FSA is consulting on regulating bidding for emissions allowances under Phase Three of the EU Emissions Trading Scheme


More confusion on client money: the latest on Lehman
  • Dentons
  • United Kingdom
  • March 13 2012

The United Kingdom Supreme Court recently decided the appeal in the important case In the Matter of Lehman Brothers International (Europe) (LBIE) (In Administration) and In the matter of the Insolvency Act 1986 2012 UK (the Case


FSA consults on advice guidance
  • Dentons
  • United Kingdom
  • March 2 2012

FSA is consulting on guidance on independent and restricted advice in the context of the RDR


Up next from FSA
  • Dentons
  • United Kingdom
  • February 3 2012

FSA's latest Policy Development Update highlights the following documents expected before the end of March 2012