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Results: 1-10 of 241

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


New rules on significant controllers target AIM
  • Dentons
  • United Kingdom
  • June 26 2017

UK incorporated AIM companies are now within scope of the "people with significant control" regime in Part 21A of the Companies Act 2006 (the PSC


Dentons' pick of global regulatory trends to watch in 2017
  • Dentons
  • Australia, Canada, China, European Union, Germany, Mexico, OECD, United Kingdom, USA
  • February 9 2017

Dentons’ team of regulatory lawyers from key jurisdictions around the world weigh in on regulatory trends to watch in 2017 in the US, Europe, the UK


Anti-corruption
  • Dentons
  • Canada, United Kingdom, USA
  • February 9 2017

Anti-corruption enforcement in the United States has changed dramatically in the past year and its future remains unclear. What


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


Combatting corruption risk in the Asia Pacific region: what next?
  • Dentons
  • Australia, OECD, United Kingdom, USA
  • December 15 2016

Introduction The election of Donald Trump as the next US president has raised fundamental questions about the role of the United States going forward


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


The Great Brexit Debate
  • Dentons
  • European Union, OECD, United Kingdom
  • June 24 2016

The UK is now counting down to the 23 June 2016 referendum on whether to stay in or leave the European Union. Dentons summarises the background to