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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
Cryptocurrency And Blockchain Technology 101: What Is Blockchain?
The terms 'cryptocurrency' and 'blockchain' are often used interchangeably by the general population.
UK
10 Sep 2018
2
FCA Consults On Applying Its Core Standards To Payment Services Sector
The FCA is consulting on a proposal to apply its Principles for Businesses and certain of its conduct of business rules to the payment services sector.
UK
2 Sep 2018
3
Transparency Update July 2018: Beneficial Ownership Of Overseas Entities Holding UK Property: Details Of Proposed New Register Revealed
Earlier this year, as we reported in our Transparency Update March 2018, the UK Government confirmed its intention to proceed with a register of overseas companies owning UK property.
UK
31 Aug 2018
4
The FCA's Enforcement Annual Performance Report 17/18
The FCA has published its annual performance report.
UK
2 Aug 2018
5
Likely Implications For Future Anti-Money Laundering Enforcement
In a busy year for anti-money laundering (AML) policy and legislative developments, the Financial Conduct Authority has published its annual anti-money laundering report for the year ended 31 March 2018.
UK
27 Jul 2018
6
Senior Managers And Certification Regime (SMCR): The Next Step To Implementation For Authorised Firms.
As readers will likely be aware, SMCR has applied to Banks since March 2016 and since the Fair and Effective Markets Review in 2015 it has been the Government's intention ...
UK
24 Jul 2018
7
Upper Tribunal Dismiss Challenge To Prohibition In Case Of Arif Hussein
In a Decision Notice dated 22 January 2016 the FCA's Regulatory Decisions Committee (RDC) determined that, whilst not dishonest, Arif Hussein, formerly a derivatives trader at UBS...
UK
3 Jul 2018
8
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
9
The Regulatory Response To Authorised Push Payment Fraud: An Update
It is sadly the case that many of us will know people who have fallen victim to an authorised push payment fraud (APP fraud).
UK
12 Jun 2018
10
The Financial Conduct Authority Fines Canara Bank For Anti-Money Laundering Control Failures
The FCA has fined Canara Bank £896,100 for anti-money laundering systems failures and has imposed a restriction preventing it from accepting deposits from new customers for 147 days.
UK
11 Jun 2018
11
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
12
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
13
Possible Redress For Real Estate Firms Mis-Sold Interest Rate Swaps
A new ruling has opened an opportunity to achieve compensation for those mis-sold interest rate swaps.
UK
5 Jun 2018
14
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
15
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
16
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
17
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
18
Trade Marks For 'Financial Services' Under The Spotlight
Over the three years between its launch and the trial, there was no evidence of actual confusion, for example, there were limited examples of typographical errors in emails.
UK
25 May 2018
19
What The FCA's Business Plan Tells Us About Enforcement In The Coming Year
The Financial Conduct Authority (FCA) has recently published its Business Plan 2018/19, which sets out its priorities for the coming year.
UK
18 Apr 2018
20
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
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