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Results:1-10 of 896

Regulatory Developments: Asset management
  • Dentons
  • United Kingdom
  • January 16 2018

The final report of the AMMS is extensive, and will have been pored over in some detail by those in the sector. It emphasises the importance of the


Regulatory Developments: Advice and customer understanding
  • Dentons
  • United Kingdom
  • January 16 2018

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


Regulatory Developments: Complaints in relation to the FCA
  • Dentons
  • USA, United Kingdom
  • January 16 2018

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


Regulatory Developments: Benchmarks
  • Dentons
  • United Kingdom
  • January 16 2018

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


Regulatory Developments: Senior managers regime, certification regime and conduct rules (SMCR)
  • Dentons
  • United Kingdom
  • January 16 2018

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


Regulatory Developments: Other developments
  • Dentons
  • United Kingdom, European Union
  • January 16 2018

The FCA published final rules (in COBS 11A.2) to prohibit UK firms from including restrictive clauses in written agreements with their clients


Regulatory Developments: AML
  • Dentons
  • United Kingdom
  • January 16 2018

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


Regulatory Developments: Final notices
  • Dentons
  • United Kingdom
  • January 16 2018

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


The FCA publishes its Business Plan 201718 and Mission: a clearer path ahead?
  • Dentons
  • United Kingdom, European Union
  • April 27 2017

On 18 April the FCA published several important documents which, overall, aim to provide greater clarity about how it operates and more transparency


Brexit and beyond
  • Dentons
  • United Kingdom, European Union
  • October 3 2016

This June, when asked “Should the United Kingdom remain a member of the European Union or leave the European Union?”, 52 per cent of those who voted