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Showing 48 out of 113 results
People’s Bank of China Enters into Anti-Money Laundering Cooperation Arrangement with Macau’s Monetary Authority
In what will undoubtedly be seen as another step in Beijing’s effort in the battle against corruption and the proceeds of corrupt transactions, the …
Authorising third country insurance firms: has the Commission got it wrong?
Geoff Maddock, partner Email | Profile tel: +44 20 7466 2067 mobile: +44 7785 255016 By Geoff Maddock, corporate insurance partner Commission view on …
Market Abuse update - August 2015
The second quarter of 2015 saw continued regulatory focus on market and benchmark misconduct: the FCA and the US regulators imposed a series of …
Problems with unit-linked products
Unit-linked insurance products have recently given rise to a number of regulatory issues. These cover: mis-selling; the responsibility of the insurer …
UK: A record sentence for the SFO?
On 3 August, the UK's Serious Fraud Office (SFO) secured a conviction on eight counts of conspiracy to defraud against a former trader. He was …
UK launches Financial Advice Market Review
On 3 August, the UK Government launched what it described as a major new review to examine how financial advice could work better for consumers. The …
Hefty fine as HK SFC steps up scrutiny of intermediaries' compliance with self-reporting obligations
On 30 July 2015, the Hong Kong Securities and Futures Commission (SFC) announced that it had reprimanded and fined Nomura International (Hong Kong) …
Ombudsman determinations, fraud and nemesis
Ombudsmen within the Financial Ombudsman Service (FOS) make decisions on complaints by customers of financial firms. An example of such a decision is an …
UK: New pilots of streamlined procedures for claims in the main business courts
Two pilot schemes, the Shorter Trials Scheme and the Flexible Trials Scheme, will be introduced for claims commenced from 1 October and will …
How European legislation may affect product intervention powers
FCA's product intervention powers The Financial Conduct Authority acquired product intervention powers on its creation in April 2013. It can make rules …
One small step for Europe; one giant leap for data protection?
In June 2015, the Council of Ministers of the European Union finally agreed a general approach on the proposed EU General Data Protection Regulation, …
Can one contract into the Consumer Credit Act 1974?
The Consumer Credit Act 1974 From 1998 to 2008 the Consumer Credit Act 1974 only applied to agreements to lend consumers less than £25,000. The financial …
Showing 48 out of 113 results
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