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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 | 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

Article

Dentons | United Kingdom | 16 Jan 2018

Regulatory Developments: Senior managers regime, certification regime and conduct rules (SMCR)

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

Article

Dentons | United Kingdom, European Union | 16 Jan 2018

Regulatory Developments: Other developments

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

Article

Dentons | United Kingdom | 16 Jan 2018

Regulatory Developments: AML

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

Article

Dentons | United Kingdom | 16 Jan 2018

Regulatory Developments: Final notices

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

Article

Dentons | United Kingdom, European Union | 27 Apr 2017

The FCA publishes its Business Plan 201718 and Mission: a clearer path ahead?

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

Article

Dentons | United Kingdom | 13 May 2016

Industry writes to FCA on SMF for legal function

BBA and the Association for Financial Markets in Europe (AFME) have written to FCA reiterating their view that the Head of Legal function within a

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