9,076 results found

The UK's Financial Conduct Authority ("FCA") has published its final Policy Statement on Investment research payment optionality for fund managers (PS25/4)...

The FCA has fined Christoper Willford, the former finance director (CF1) of Bradford & Bingley, £30,000 for failing to provide the board with up-to-date information about the bank's financial position ahead of its 2008 rights issue in breach of Principle 6 of the FCA's Statements of Principle for Approved Persons

On March 26, 2015, the FCA published proposed guidance on the application of ex-post risk adjustment to variable compensation.

On May 23, 2016, the FCA launched a consultation on the proposed Guidance on wind-down planning.

On February 19, 2016, the Financial Conduct Authority published the findings of its review into the research and due diligence processes that firms undertake on the products and services they recommend to retail clients.

The FCA has published a voluntary application for the imposition of a requirement (‘voluntary application’) by price comparison website, MoneySuperMarket.com Financial Group Limited (MSM), which set out an acknowledgement of an infringement of the financial promotion rules by MSM

On Monday 14 November 2022, Sara Hall partner in our Global Regulatory & Risk Advisory Group will be speaking at the Legal Business Financial Regulatory and Dispute Summit 2022.

Financial Services analysis: Our panel of experts examines the impact on 2014's cases on financial services lawyers and their clients.

A Financial Services and Markets Bill has been published as part of the government's Future Regulatory Framework Review (FRF Review).

On May 25, 2016, the Financial Stability Board published its thematic review on the implementation of the FSB Framework for Shadow Banking Entities.

On September 30, the UK Information Commissioner’s Office published a review of the manner in which personal data is processed by credit reference agencies.

Fixed recoverable costs: Where are we now?

Many US lenders stepping into the UK ABL market are surprised by how different, and more complex, the English law security package can feel.

This time last week as an early Christmas gift for us all the FRC announced its areas of supervisory focus for the 2022/23 review year.

As financial institutions operationalise the EU's Digital Operational Resilience Act (DORA), the UK's Critical Third Party regime introduces a parallel framework with distinct differences. Both regimes expand regulatory oversight to encompass the digital infrastructure underpinning modern finance, creating new compliance challenges for internationally active firms and technology providers operating across jurisdictions.

Ghana has had eight finance ministers since the restoration of multiparty democracy. There could be a ninth in months, weeks or days i.e., before term. The current occupant, Ken Ofori-Atta...

Luxembourg is the first country in the world to implement a law on green covered bonds (lettres de gage portant sur les énergies renouveables).

On 11 March 2019, Guernsey and Jersey's financial services regulators signed a Memorandum of Understanding with the UK's Financial Conduct Authority to ensure certainty around accessing UK investor capital ...