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410 results found

Article

Dentons | United Kingdom | 6 Jun 2019

Bank fined £1.9 million as FCA and PRA focus on outsourcing failures

R. Raphael and Sons plc (Raphaels) has been fined £1.9 million by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA)

Article

Dentons | United Kingdom | 4 Apr 2019

CP194 - FCA proposals on the legal function under SMCR and clarifying the client dealing certification function

Banks, insurers and enhanced solo-regulated firms that come within the Senior Managers and Certification Regime (SMCR) will be interested in the FCA's

Article

Dentons | United Kingdom | 4 Apr 2019

The transition from LIBOR to risk-free rates an overview of recent developments

In our December 2017 article What now for LIBOR in finance documents?, we considered the initial reaction of regulators, industry bodies and market

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 | 27 Feb 2018

Clarification on distribution of surplus assets of a registered society on solvent winding up

Friendly societies, along with other mutual societies, are registered with and regulated by the Financial Conduct Authority under the Co-operative and

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

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