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19 results found

Article

Baker McKenzie | United Kingdom | 17 May 2018

FCA Imposes Remedies after Asset Management Market Study - How Should You Respond?

In April 2018 the Financial Conduct Authority announced a package of measures to boost competition in the asset management sector. These important

Article

Baker McKenzie | United Kingdom | 23 Apr 2018

Financial Services - News on Enforcement & Cases

A headline development last month was the publication of the Financial Conduct Authority's paper detailing its Approach to Enforcement. This had been

Article

Baker McKenzie | United Kingdom | 26 Mar 2018

Financial Services - News on Enforcement & Cases

In an otherwise quiet month (February) for FCA Enforcement, the UK's conduct regulator imposed a fine of almost £2 million on Vanquis Bank for

Article

Baker McKenzie | United Kingdom | 18 Mar 2018

Financial Services - News on Enforcement & Cases

In an otherwise quiet month (February) for FCA Enforcement, the UK's conduct regulator imposed a fine of almost £2 million on Vanquis Bank for

Article

Baker McKenzie | United Kingdom, European Union | 25 Jan 2018

Brexit: Licensing for UK Branches of EEA Banks

This guide explains what action UK branches of EEA credit institutions should now be taking to obtain regulatory approval to continue operating

Article

Baker McKenzie | European Union | 16 Jan 2018

Financial Services - Enforcement News

Overall 2017 was a quieter year for enforcement (judged by published cases). The FCA imposed 13 fines in 2017 compared to 23 fines in 2016 and 40 in

Article

Baker McKenzie | United Kingdom | 12 Jan 2018

Financial Services - Enforcement News January 2018

Overall 2017 was a quieter year for enforcement (judged by published cases). The FCA imposed 13 fines in 2017 compared to 23 fines in 2016 and 40 in

Article

Baker McKenzie | United Kingdom | 20 Dec 2017

No Leniency shown to first AIM Issuer fined by the FCA under the Market Abuse Regulation

The Financial Conduct Authority (FCA) has brought its first enforcement action under the EU Market Abuse Regulation (MAR), which has had direct

Article

Baker McKenzie | Asia-Pacific, United Kingdom, European Union | 3 Nov 2017

MiFID II and APAC: How Far Does the Legislation Reach?

MiFID II, the EU’s revised Markets in Financial Instruments Directive and new Markets in Financial Instruments Regulation (MiFIR), comes into effect

Article

Baker McKenzie | Asia-Pacific, United Kingdom, European Union | 16 Oct 2017

MiFID II and APAC: How Far Does the Legislation Reach?

MiFID II, the EU's revised Markets in Financial Instruments Directive and new Markets in Financial Instruments Regulation (MiFIR), comes into effect

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