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Searching Content by Michael Ruck from Pinsent Masons LLP ordered by Published Date Descending.
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The FS Express Special Edition - Business Plans For 2018/19
A brief summary of the FCA's business plan, setting out its activities and priorities for the coming year
UK
30 Apr 2018
2
The FS Express – April 2018
The FCA is taking a forward-looking and pre-emptive approach to address risk and associated risk of harm.
UK
11 Apr 2018
3
FCA Promises Closer Supervisory And Enforcement Collaboration
The Financial Conduct Authority (FCA) has set out its intention to take a more aggressive approach to enforcement, while developing closer links between its supervisory and enforcement functions.
UK
26 Mar 2018
4
The OPBAS Has Sarted Its Work (The FS Express – February 2018)
The FCA has announced that under regulations which came into force on 18 January 2018, the Office for Professional Body Anti Money Laundering Supervision (OPBAS) has begun its work.
UK
12 Mar 2018
5
Spread Betting Firms Urged To Get Involved In EU Call For Evidence On Intervention
EU regulators have set out proposals to restrict or prohibit the marketing or sale of certain contracts for difference (CFD) financial products to non-sophisticated investors.
European Union
19 Jan 2018
6
FCA Sets Out 'Serious Concerns' With Contracts For Difference After Year-Long Review
The UK's Financial Conduct Authority (FCA) has "serious concerns" over the way in which 'contracts for difference' (CFDs) are being promoted and sold to unsophisticated investors...
UK
15 Jan 2018
7
ESMA Speculative Financial Products Crackdown Plans Could Increase Risk, Says Expert
The European Securities and Markets Authority (ESMA) is planning to use its product intervention powers to cut down on the sale of contracts for difference (CFDs) to retail clients.
European Union
18 Dec 2017
8
Irish Regulator Fines Life Insurer €1m For Anti-Money Laundering Failures
Italian life insurer Intesa Sanpaolo Life dac (Intesa) has been fined €1 million by the Irish insurance regulator for anti-money laundering and terrorist financing compliance failures.
European Union
30 Nov 2017
9
Insurers Should Prepare For Impact Of New Accountability Rules Now, Experts Warn
ANALYSIS: Consultations on the extension of the Senior Managers and Certification Regime (SM&CR) to the entire insurance sector close on 3 November.
UK
26 Oct 2017
10
Suspicious Transaction Reports To FCA Soar To Record High
The number of reports notifying the UK's Financial Conduct Authority (FCA) of suspicious transactions have risen to their highest ever level, more than doubling in the last two years.
UK
24 Oct 2017
11
Deutsche Börse Agrees To Pay Fines Over Alleged Insider Trading
Deutsche Börse will pay fines imposed by the Frankfurt Public Prosecutor over alleged insider trading in a bid to close the investigation.
Germany
19 Sep 2017
12
Financial Regulators Consult On Extension Of Senior Managers And Certification Regime
The UK's financial regulators have promised a "consistent and proportionate" regulatory framework as they consult on proposals for the extension of individual accountability rules.
UK
28 Jul 2017
13
Lords Committee Launches New Inquiry Into Financial Regulation And Supervision
The UK House of Lords EU financial affairs sub-committee has begun a new inquiry into the future of financial regulation and supervision following Brexit.
UK
26 Jul 2017
14
French Market Regulator Proposes ESMA Reforms
French market regulator Autorité des marchés financiers (AMF) has proposed three changes to European Securities and Markets Authority (ESMA) decision making.
European Union
3 Jul 2017
15
FCA Approach To Investigations 'Evolving', Says Director
More Financial Conduct Authority (FCA) investigations into potential wrongdoing by firms and individuals will not necessarily lead to more enforcement action, the regulator has said.
UK
19 Jun 2017
16
Newcastle United Managing Director Arrested In Football Tax Inquiry (FS Enforcement Express May 2017)
Earlier this month, Lee Charnley, managing director of Newcastle United, was among a number of senior European football officials arrested as part of an investigation into the tax affairs...
UK
13 Jun 2017
17
Rise In Anti Money Laundering Inquiries Poses Challenge For Banks, Says Expert
Requests from foreign authorities for the UK's assistance in anti money laundering (AML) investigations rose last year to record levels.
UK
12 Jun 2017
18
'Compensation For Victims' As FCA Secures £2.2m Confiscation Orders, Says Expert
Victims of a failed unauthorised collective investment scheme (UCIS) can expect to receive about 40% of their investment back after the regulator secured two final confiscation orders from some...
UK
30 May 2017
19
FCA Whistleblowing Rules Extended To UK Branches Of Overseas Banks From September
Financial Conduct Authority (FCA) protections for whistleblowers will be extended to UK branches of foreign banks from September, the regulator has announced.
UK
8 May 2017
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