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On September 5, 2018, the U.K. FCA issued a press release announcing the appointment of Sheldon Mills as its new director of competition.

The former chief financial officer of Redcentric Plc has been sentenced to five and a half years' imprisonment and disqualified from being a director for ten years after being found guilty of...

The AFM has drawn up rules on the use of the mandatory exemption notice.

In previous editions of the Finance Brief we have reported on the findings of the Wheatley Reivew.

The fine is the largest fine imposed by the FCA (or its predecessor, the Financial Services Authority) for a breach of the Client Asset Rules.

On April 8, 2016, Sam Woods was appointed Deputy Governor of the Bank of England and Chief Executive of the Prudential Regulation Authority. Mr. Woods will succeed Andrew Bailey on July 1, 2016.

This article examines how derivatives regulation has evolved in the UK following Brexit, tracing the journey from initial "onshoring" of EMIR to an increasingly divergent regulatory landscape between EU-EMIR and UK EMIR.

The FCA proposed rules that would call for providers of workplace personal pension schemes to establish and maintain independent governance committees.

The PS completes the PPI consultation process which began in November 2015.

As a timely reminder to ensure firms are assessing the suitability of their products to customers before promoting them, the FCA has published two final notices, fining two individuals John Leslie and Jeffery Bennett £28,000 each and banned them from performing accountable significant influence functions for failing to monitor the promotion of unregulated collective investment schemes.

On November 19, 2015, the final Report into the Financial Services Authority's enforcement actions following the failure of HBOS plc, prepared by Andrew Green Q.C., was published by the PRA and FCA.

On July 30, 2015, the FCA announced that it had banned Lee Stewart from the UK financial services industry.

On July 14, 2015, the Financial Conduct Authority launched a consultation on proposed rules requiring information to be provided to customers by a non-ring-fenced body.

On November 23, 2017, the Financial Conduct Authority published a note on the compliance function in wholesale banks

On September 29, 2016, the FCA announced that it had instituted criminal proceedings against Mark Alexander Lyttleton for alleged insider dealing.

On 27 March 2014, the Financial Policy Committee of the Bank of England announced the terms of reference of its review of the leverage ratio.

On 16 May 2014, the Financial Services and Markets Act 2000 (Transparency) Regulations 2014 were laid before Parliament.