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15 results found

Article

Burges Salmon LLP | United Kingdom | 3 May 2017

FCA v Macris: restrictive meaning of "identifies" under s393 FSMA 2000

Supreme Court overturns the findings of the Court of Appeal and the Upper Tribunal and adopts a restrictive meaning of the word "identifies" in s393

Article

Burges Salmon LLP | United Kingdom | 27 Feb 2015

Financial services series 16 - FCA prosecution

This briefing looks at the recent prosecution of Alex Hope by the Financial Conduct Authority ("FCA") and the wider implications of this decision for

Article

Burges Salmon LLP | United Kingdom | 3 Feb 2015

Financial services series 15 - FCA thematic review on retail investment advice

This briefing looks at the thematic review of retail investment advice published by the Financial Conduct Authority (FCA) in December 2014. The

Article

Burges Salmon LLP | United Kingdom | 29 Dec 2014

Financial services series 14 - annuities mis-selling: the new PPI?

In this issue of FSS, we consider the Financial Conduct Authority's ("FCA") recently published report, 'Annuities sale practices - December 2014'

Article

Burges Salmon LLP | United Kingdom | 1 Sep 2014

The FCA changes its mind on why a broker is unfit but he is banned anyway

The FCA has been allowed to change the grounds on which it banned an insurance broker, after having had to accept that its original reasons were

Article

Burges Salmon LLP | United Kingdom | 27 Aug 2014

Financial services series 10 - Financial Conduct Authority thematic review: best execution and payment for order flow

This briefing looks at the FCA's findings from its thematic review of best execution and payment for order flow (PFOF). The results of this review

Article

Burges Salmon LLP | United Kingdom | 14 Jul 2014

Financial Conduct Authority thematic review: commercial insurance intermediaries - conflicts of interest

In May 2014, the Financial Conduct Authority (FCA) published the findings from its thematic review of commercial insurance intermediaries, in

Article

Burges Salmon LLP | United Kingdom | 7 Mar 2014

Financial Conduct Authority: financial penalties significantly higher under the new regime

In our Financial Services Series Issue 3, we identified a number of ways in which the FCA is maintaining and increasing the "credible deterrence"

Article

Burges Salmon LLP | United Kingdom | 3 Jan 2014

FCA intervenes in price comparison advertising campaign

In December 2013, the price comparison website MoneySuperMarket.com Financial Group Limited (MSM) completed a Voluntary Application for Imposition of

Article

Burges Salmon LLP | United Kingdom | 23 Dec 2013

Sanctions and credible deterrence

In this month's briefing, we discuss the sanctions the FCA has at its disposal. We take a look at: sanctions available to the Regulator; recent

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