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Results: 1-10 of 263

What does the FCA's Annual Report 201617 tell us about enforcement priorities?
  • Dentons
  • United Kingdom
  • August 1 2017

The FCA has been quick to say that it is not going soft, in its Annual Report and Accounts for 201617. It is easy to see why it feels the need to


How to spot PEPs and what to do with them - the FCA's Finalised Guidance 175
  • Dentons
  • United Kingdom
  • July 24 2017

The guidance issued by the FCA in FG 175 (the Guidance) is likely to make a significant difference to the way in which firms identify and manage


Financial Regulatory Developments 6th July 2017 - Final Notices
  • Dentons
  • Switzerland, United Kingdom
  • July 6 2017

Manjeet Mohal, a former business analyst at Logica Plc, has been sentenced for insider dealing along with his neighbour, Reshim Birk. Mr Mohal was


Money Laundering: Further clarity provided by the Court of Appeal on the operation of the consent regime
  • Dentons
  • United Kingdom
  • April 10 2017

On 7 April 2017, the Court of Appeal in the decision of The National Crime Agency v. N and Royal Bank of Scotland Plc provided further clarity for


Standby letters of credit, complying demands and the fraud exception - Court of Appeal restores certainty and commercial common sense
  • Dentons
  • United Kingdom
  • February 1 2017

In two appeals on the validity of demands under standby letters of credit (SBLCs) and the application of the fraud exception, the Court of Appeal has


Financial Markets Disputes and Regulatory Update - Regulatory decisions
  • Dentons
  • United Kingdom
  • January 24 2017

The introduction of the first stage of the SMR has not slowed the volume of publications from the regulators on this crucial area of reform. Although


Whistleblowing Toolkit
  • Dentons
  • United Kingdom
  • August 9 2016

In October last year, the FCA and PRA published policy statements containing new rules on whistleblowing. These are designed to encourage a culture


Treasury consults on AMLCFT supervisory regime
  • Dentons
  • United Kingdom
  • April 29 2016

Treasury has launched a call for information on the government's anti-money laundering (AML)Counter Financing of Terrorism (CFT) supervisory regime


Treasury and Home Office publish AMLCFT action plan
  • Dentons
  • United Kingdom
  • April 29 2016

Treasury and the Home Office have published the government's action plan to stop money laundering and the funding of terrorism. The document outlines:


NCA publishes SARs Annual Report 2015
  • Dentons
  • United Kingdom
  • March 18 2016

NCA has published its Suspicious Activity Reports (SARs) Annual Report 2015. The report covers the first year of the UK Financial Intelligence Unit