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Article

Dentons | United Kingdom | 19 Mar 2019

CP194 - the long-awaited FCA proposals on treatment of the legal function under SMCR

Banks, insurers and enhanced solo-regulated firms that will become subject to the Senior Managers and Certification Regime (SMCR) (Affected Firms)

Article

Dentons | United Kingdom | 4 Mar 2019

Senior manager learning points from FCA decision notice against Sonali Bank CEO

Introduction and background In a recently published decision notice, the FCA has proposed to fine Mohammad Ataur Rahman Prodhan, the former CEO of

Article

Dentons | United Kingdom | 3 Apr 2018

FCA sets out its Approach to Enforcement

The FCA has published its Approach to Enforcement document, one of a series of documents seeking to articulate its "Mission". Much of the Approach

Article

Dentons | United Kingdom | 20 Mar 2018

Former Co-operative Bank Chair Paul Flowers banned from the financial services industry

In a Final Notice that showcases the importance the FCA places on the role of Chair, the FCA has banned former Co-op Bank Chair Paul Flowers from the

Article

Dentons | United Kingdom | 30 Jan 2018

Is it all getting a bit out of hand? FCA Consultation Paper 1740 on transitioning FCA firms and individuals to the Senior Managers and Certification Regime (SMCR)

The SMCR for banks has now been in place for almost two years, but only a few months after it was implemented, statutory amendments were made to allow

Article

Dentons | United Kingdom | 16 Jan 2018

Regulatory Developments: Asset management

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

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

What can we learn from the second half of 2017

Cases which consider the construction and use of standard form financial agreements almost always deserve reading. Most

Article

Dentons | USA, United Kingdom | 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: 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

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