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899 results found

Article

Dentons | United Kingdom | 10 Mar 2020

PRA issues timely letter to chairs on board diversity

With International Women’s Day being celebrated on 8 March, it can surely be no coincidence that last week the PRA issued all dual-regulated firms…
Article

Dentons | European Union, United Kingdom | 16 Dec 2019

Regulators publish consultation papers on “operational resilience” and outsourcing

Following a number of high-profile IT failures and data breaches in the financial services sector, a key priority for the Bank of England, Prudential…
Article

Dentons | European Union | 4 Dec 2019

Green and sustainable lending - not just a passing fad

Green and sustainable lending is now an area of focus for many commercial lenders. This has brought with it the development of voluntary industry…
Article

Dentons | United Kingdom | 22 Jul 2019

Mitigating insolvency effects in the supply chain

Gurbinder Grewal and Michael Wright in the UK Construction Team explain the knock on effects of insolvencies and the mitigating steps that can be…
Article

Dentons | United Kingdom | 16 Jan 2018

Regulatory Developments: Advice and customer understanding

In this Consultation Paper, the FCA consults on changes to COBS 19 designed to secure better outcomes for those affected by the pensions freedoms…
Article

Dentons | United Kingdom | 16 Jan 2018

Regulatory Developments: Final notices

The Financial Conduct Authority (FCA) has reached a settlement with Merrill Lynch International (MLI), under which it has imposed a fine of £34,524…
Article

Dentons | United Kingdom | 16 Jan 2018

Regulatory Developments: Benchmarks

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…
Article

Dentons | United Kingdom | 16 Jan 2018

Regulatory Developments: AML

The FCA has finalised its guidance on how firms should approach politically exposed persons (PEPs), their families and known close associates. The…
Article

Dentons | United Kingdom, USA | 16 Jan 2018

Regulatory Developments: Complaints in relation to the FCA

The Upper Tribunal dismissed an application for disclosure of materials relating to the FCA's internal decision-making processes around initiating and…
Article

Dentons | United Kingdom | 16 Jan 2018

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

Individual Accountability: Extending the Senior Managers & Certification Regime to all FCA firms, and extending the SMCR to Insurers Consultation…
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