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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


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


Financial Regulatory Developments 6th July 2017 -Other Policy Developments
  • Dentons
  • United Kingdom
  • July 6 2017

The FCA’s Mission aims to give more clarity about prioritisation of interventions in financial markets. It sets out its overarching Mission as being


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


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


Latest FCA rules and guidance: SMCR, remuneration and whistleblowing
  • Dentons
  • Global, United Kingdom
  • May 8 2017

On 3 May the FCA published a series of policy statements tidying up aspects of the senior managers and certification regime (SMCR) for banks and


Regulatory references: the new rules of recruitment for the financial sector
  • Dentons
  • United Kingdom
  • February 28 2017

On 7 March 2017, the recruitment practices of banks and insurers are changing with the introduction of mandatory regulatory references. It is expected


What is worth remembering from the second half of 2016?
  • Dentons
  • United Kingdom
  • January 24 2017

In the first half of 2016, there were a number of interesting judgments in relation to agreements concluded on standard terms


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


The Senior Managers Regime - is responsibility for a bank's legal function in or out?
  • Dentons
  • United Kingdom
  • December 6 2016

On 7 March this year the FCA and PRA’s new Senior Managers Regime (SMR) came into force for banks following a lengthy and extensive consultation