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Results: 1-10 of 1,057

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


Life under dual-regulation: how banks should adapt to the PRA
  • Dentons
  • United Kingdom
  • March 25 2013

The Financial Services Act 2012 (FS Act) received Royal Assent just before Christmas 2012 and will, for the most part, take effect on 1 April 2013


UK financial sanctions: the regime and the regulator
  • Dentons
  • United Kingdom
  • June 12 2009

Compliance with financial sanctions has made its way up the UK financial regulatory agenda


Financial Regulatory Developments 6th July 2017 - Senior managers regime, certification regime and conduct rules
  • Dentons
  • United Kingdom
  • July 6 2017

The Senior Managers and Certification Regime (SMCR) requires banks and major investment firms to: allocate prescribed responsibilities to


In the eye of the beholder? The concept of value for money, and the FCA's governance proposals for asset managers
  • Dentons
  • United Kingdom
  • July 13 2017

The publication of the Financial Conduct Authority's Consultation Paper CP1718 (the CP) and Asset Management Market Study mark a further milestone in


It's all in the detail: a cautionary tale for handling complaints
  • Dentons
  • United Kingdom
  • July 16 2013

The Financial Conduct Authority (the FCA1) continues to emphasise the importance of proper complaint handling by firms. Its recent £2.8 million fine


FSA extends common platform
  • Dentons
  • United Kingdom
  • October 3 2008

FSA has published its final rules extending its common platform principles to firms that fall outside the scope of MiFID and the CRD


ICAP one fine too many?
  • Dentons
  • European Union, United Kingdom
  • June 10 2015

On 4 February 2015, the European Commission (Commission) fined cash broker ICAP plc (ICAP) 14.9 million for its involvement in the Japanese Yen


Treasury consults on ILS
  • Dentons
  • United Kingdom
  • March 4 2016

Treasury has launched a consultation on a new regulatory and tax framework for insurance-linked securities (ILS) business. The consultation sets out