We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results:1-10 of 49

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.


BBA responds on legacy charging
  • Dentons
  • United Kingdom
  • January 27 2012

BBA’s response to FSA’s consultation on treatment of legacy assets in the context of Retail Distribution Review adviser charging says firms must be clear on the purpose of trail commission.


Up next from FSA
  • Dentons
  • United Kingdom
  • December 22 2011

During the first quarter of 2012, FSA expects to publish several significant documents.