We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 93

The broker scheme of arrangement
  • Locke Lord LLP
  • United Kingdom
  • May 23 2014

On 16 April 2014 we assisted J.K. Buckenham Limited (JKB) in successfully obtaining the court's leave to convene a meeting of its creditors, a


FSA publishes guidance on the risks to customers from financial incentives
  • Locke Lord LLP
  • United Kingdom
  • January 22 2013

Final guidance aimed at stopping financial firms from running incentive schemes that encourage mis-selling was published by the Financial Services


UK: FCA fines broker, compliance officer and asset manager in relation to market abuse
  • Locke Lord LLP
  • United Kingdom
  • August 15 2013

The FCA issued decision notices last week for three individuals in connection with market abuse by Rameshkumar Goenka (which earned Goenka a fine of


Key changes to the UK Takeover Code 30 September 2013
  • Locke Lord LLP
  • United Kingdom
  • August 6 2013

On 30 September 2013, a number of significant changes to the UK Takeover Code ("Code") will come into effect. Although these changes are not sweeping


HM Treasury outlines framework for FCA regulation of consumer credit
  • Locke Lord LLP
  • United Kingdom
  • March 20 2013

The UK Government has announced plans to transfer consumer credit regulation to the Financial Conduct Authority (FCA) in April 2014, when the current


UK FSA fines prudential £30m, censures CEO for failure to disclose
  • Locke Lord LLP
  • United Kingdom
  • March 27 2013

Earlier today, the UK Financial Services Authority fined two member companies of the Prudential Group a total of £30 million for failing to disclose


Regulatory enforcement - FSA issues a consultation paper regarding proposals to amend the Decision Procedure and Penalties Manual and the Enforcement Guide
  • Locke Lord LLP
  • United Kingdom
  • June 2 2008

On 27 May, the FSA published a consultation paper on proposed changes to its Decision Procedure and Penalties (DEPP) manual and Enforcement Guide (EG) (the Consultation Paper), which includes proposals that are relevant to its discussion paper on transparency as a regulatory tool


The Financial Services Authority (FSA) launches discussion paper (DP) on increasing transparency
  • Locke Lord LLP
  • United Kingdom
  • May 30 2008

After some delay, the FSA has published a DP which explores the creation of a framework for determining what further information the regulator might publish about firms and industry sectors in order to aid transparency


UK: the financial Conduct Authority announces its policy for publishing information about enforcement warning notices
  • Locke Lord LLP
  • United Kingdom
  • December 18 2013

The Financial Conduct Authority (FCA) has published its policy statement on 'Publishing Information about Enforcement Warning Notices'; aimed at


The FSA publishes two reports relating to the use of unfair terms in consumer contracts
  • Locke Lord LLP
  • United Kingdom
  • June 13 2008

In addition to its core principles and rules, which require insurers to treat their customers fairly, the FSA has powers under the UK's Unfair Terms in Consumer Contracts Regulations 1999 (Regulations) to challenge firms that use unfair terms in their standard consumer contracts and to require firms to change those terms where necessary