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25 results found

Article

Shearman & Sterling LLP | United Kingdom | 28 Jan 2015

Financial Conduct Authority finalised guidance on retail investment advice

On January 22, 2015, the FCA issued its Finalized Guidance on retail investment advice, which aims to explore and clarify the barriers and boundaries

Article

Shearman & Sterling LLP | United Kingdom | 28 Jan 2015

UK Financial Conduct Authority takes further action for misconduct relating to LIBOR

On January 22, 2015, the UK Financial Conduct Authority ("FCA") imposed a fine on two former senior executives of Martin Brokers (UK) Ltd and banned

Article

Shearman & Sterling LLP | United Kingdom | 21 Jan 2015

UK regulators publish final rules implementing the Bank Recovery and Resolution Directive

On January 16, 2015, the UK's PRA and Financial Conduct Authority ("FCA") published their policy statements including final rules implementing the

Article

Shearman & Sterling LLP | United Kingdom, European Union | 10 Sep 2014

FCA factsheet on review of the calculation of the clearing threshold by NFCs

On September 3, 2014, the UK Financial Conduct Authority ("FCA") published a review finding factsheet on the calculation of the clearing threshold by

Article

Shearman & Sterling LLP | United Kingdom | 2 Sep 2014

FCA fines Deutsche Bank for transaction reporting failures

On August 28, 2014, the FCA published its final notice fining Deutsche Bank for incorrectly reporting equity swap CFD transactions between 2007 and

Article

Shearman & Sterling LLP | European Union | 26 Aug 2014

FCA reviews industry for reporting compliance under EMIR

On August 21, 2014, the Financial Conduct Authority ("FCA") published the outcome of its second review into how the industry has dealt with the

Article

Shearman & Sterling LLP | United Kingdom, European Union | 12 Aug 2014

FCA to restrict UK firms from distributing CoCos to retail investors

On August 5, 2014, the FCA announced a temporary restriction on authorized firms in the UK from distributing, promoting or intermediating

Article

Shearman & Sterling LLP | United Kingdom | 12 Aug 2014

FCA consults on the establishment of independent governance committees by providers of workplace personal pension schemes

On August 6, 2014, the FCA published a consultation paper on proposed rules that would call for providers of workplace personal pension schemes to

Article

Shearman & Sterling LLP | United Kingdom | 12 Aug 2014

FCA consults on approach to financial promotions in social media

On August 6, 2014, the Financial Conduct Authority ("FCA") launched a consultation setting out its proposed approach to financial promotions in

Article

Shearman & Sterling LLP | United Kingdom | 5 Aug 2014

Proposed amendments to the UK Remuneration Code

On 30 July 2014, the Financial Conduct Authority ("FCA") and the Prudential Regulation Authority ("PRA") published a joint consultation

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