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Searching Content indexed under Finance and Banking by Mishcon De Reya ordered by Published Date Descending.
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1
Andrew Bailey Talks About Culture In Financial Services
On 19 March, Andrew Bailey, Chief Executive of the FCA, delivered a talk on culture in financial services. This speech was delivered against the backdrop of the FCA ...
UK
12 Jun 2018
2
The FCA's Enforcement Mission
The FCA says that its overriding approach to Enforcement is to achieve a fair and just outcome in response to misconduct.
UK
11 Jun 2018
3
What The FCA's Business Plan Tells Us About Enforcement In The Coming Year
We focus instead in this piece on determining where enforcement might come from.
UK
11 Jun 2018
4
PRA And FCA Fine Barclays' CEO James Staley Over Handling Of Whistleblowing
Following a joint FCA and PRA investigation, James Staley the CEO of Barclays Group has been fined a total of £642,430 for failing to act with due skill ...
UK
1 Jun 2018
5
Tribunal Offers Guidance On Third Party Rights And Supervisory Notices
On 25 April 2018, the Upper Tribunal in UK Innovative TI Limited v Financial Conduct Authority [2018] UT 0136 (TCC) ruled on a novel third party rights case.
UK
1 Jun 2018
6
The FCA Prohibits Paul Flowers
The FCA has issued a prohibition order that prevents Paul John Flowers from performing any function in respect of any UK regulated activity.
UK
1 Jun 2018
7
FCA Fines Vanquis Bank £1.97m And Orders Substantial Restitution, In Respect Of Sales Calls Practice
The FCA has fined Vanquis Bank ("Vanquis"), £1.97m (including a stage 1 settlement discount of 30%) and required it to pay restitution to clients estimated at around £11.87m.
UK
1 Jun 2018
8
Senior Managers And Certification Regime A Step Closer
It is well known that the FCA is readying itself to roll-out the Senior Managers and Certification Regime (SMCR) to all authorised firms.
UK
16 Apr 2018
9
India's Youngest Billionaire And Paytm Founder Vijay Shekhar Sharma On FT World Tech Founders Podcast
In this episode we meet Vijay Shekhar Sharma, India's youngest billionaire and founder of Paytm, an Indian e-payments and e-commerce brand based out of Delhi.
India
5 Apr 2018
10
Last Chance Saloon For Spread-Betting Firms? "Dear CEO" Letter About Retail Contracts For Differences (CFD) Products.
Retail CFDs are complex, leveraged derivative financial instruments that investment firms commonly offer to retail clients through online trading platforms.
UK
2 Feb 2018
11
The FCA Consults On SMCR Transitional Arrangements
On 13 December 2017, the FCA published consultation papers (CP17/40-42) that set out proposed transitional arrangements for the wider roll-out of the Senior Management and Certification Regime (SMCR).
UK
2 Feb 2018
12
FCA Pulls No Punches In Its Quest For Clean Markets
On 14 November 2017, Julia Hoggett (Director of Market Oversight at the FCA) delivered a speech about compliance with the market abuse regime.
UK
2 Feb 2018
13
Principals In The Spotlight Over Relationships With Appointed Representatives And Introducer Appointed Representatives
In November last year, the FCA issued an alert to all Principals who have Appointed Representatives or Introducer Appointed Representatives (ARs).
UK
2 Feb 2018
14
Merrill Lynch Receives Substantial Fine For Transaction Reporting Failures
Without this discount, the fine would have been £49,320,000.
UK
31 Jan 2018
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