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1
Changes To The Financial Ombudsman Service
On 16 October 2018, the FCA and the FOS issued two publications which together could have a significant impact on financial services firms and their complaints and disputes handling.
UK
26 Oct 2018
2
Misinformation And "Maxwellisation": Taveta Investments Limited v. The Financial Reporting Council
It is accepted that when a regulatory body such as the Financial Reporting Council investigates one of its members, its findings will be made public.
UK
27 Jul 2018
3
Court Of Appeal Dismisses Appeal In Property Alliance Group v. RBS
The Court of Appeal has dismissed the appeal brought by Property Alliance Group Limited (PAG) concerning allegations against The Royal Bank of Scotland plc (RBS) in respect of the sale of interest rate...
UK
5 Mar 2018
4
Regulatory Decisions
Crucially, this period has seen the start of implementation of the new regime for individual accountability, although it will take a further year for it to become fully effective.
UK
18 Jul 2016
5
Judgments
June 2016 saw the publication of the Supreme Court judgment in this case involving Lloyds Banking Group (LBG) and its attempt to redeem contingent convertible securities.
UK
18 Jul 2016
6
What Is Worth Remembering From The First Half Of 2016?
It is often difficult to identify common themes arising from judgments that happen to be handed down at the same time, and the first half of 2016 has proved no exception.
UK
18 Jul 2016
7
Financial Markets Disputes And Regulatory Update - Winter 2015/Spring 2016
In this edition of our Financial Markets Disputes and Regulatory Update, we have considered the key financial markets cases and banking-related regulatory action from the second half of 2015...
UK
12 Feb 2016
8
What To Watch Out For...
The appeal in the Deutsche v. Cheyne litigation (we summarise the first instance decision below) is likely to be heard in May.
UK
12 Feb 2016
9
Judgments - February 9, 2016
The dispute in this case was, in reality, between the holders of Class A notes issued by the defendant issuer on the one hand and the holders of the subordinated notes in Classes B to E on the other.
UK
12 Feb 2016
10
Regulatory Developments - February 9, 2016
The second half of 2015 has seen the PRA and the FCA finalise many elements of the SMR, certification regime and conduct rules in advance of the start of implementation, on 7 March 2016.
UK
12 Feb 2016
11
Regulatory Developments - June 17, 2015
The FCA and the PRA have published further material in relation to the implementation of the new provisions relating to individual accountability in banking, including the Senior Managers regime, the certification regime, and the conduct rules.
UK
17 Jun 2015
12
Judgments - So Far This Year… (Financial Markets Disputes and Regulatory Update - Summer 2015)
He was then required to consider whether, instead of delivering the metal, Citi could assign its right to the metal, or to the benefit of insurance policies.
European Union
17 Jun 2015
13
What To Watch Out For... (Financial Markets Disputes and Regulatory Update - Summer 2015)
Claims involving a LIBOR element are likely to continue to advance. Deutsche Bank is facing claims by Unitech.
European Union
17 Jun 2015
14
Caught In The Tangled Web
This is a case in which the claimant alleged that a bank held money on constructive trust for her.
UK
28 Apr 2015
15
"This One's Just A Tiddler, Throw Him Back To Sea"
Julien Grout was one of four individuals investigated by the FCA in connection with the London Whale affair, in respect of which JP Morgan was fined £137,610,000.
UK
26 Mar 2015
16
"This One's Just A Tiddler, Throw Him Back To Sea"
Julien Grout was one of four individuals investigated by the FCA in connection with the London Whale affair, in respect of which JP Morgan was fined £137,610,000.
UK
24 Mar 2015
17
Ships That Pass In The Night? Will The FCA's Recent Guidance On Retail Investment Advice Have Any Impact On Mis-Selling Litigation?
The FCA has recently published Finalised Guidance 15/1, which promises to consolidate existing sources of guidance on retail investment advice...
UK
26 Feb 2015
18
Better Late Than Never: Late Service Of Notice Of Amount Payable Under Section 6(D) Of The ISDA Master Agreement
Goldman Sachs International (GSI) has recently succeeded on an application for summary judgment against Videocon Global Ltd (Videocon) on somewhat unusual facts.
UK
7 Jan 2015
19
Fixes For FX - How Would Recent Regulatory Changes Have Affected Liability For Foreign Exchange Manipulation?
In this further article, we consider the possible effects on the behaviour identified by the FCA of changes to the regulation of the foreign exchange market and of benchmark setting.
UK
9 Dec 2014
20
How Might The Proposed New Senior Managers And Certification Regime For Individuals Have Affected Accountability For Foreign Exchange Manipulation?
Shakespeare's often misquoted suggestion, "first kill all the lawyers", still sells very successfully on mugs and T-shirts. It is likely that had he referred to bankers instead, merchandise sales would currently be at least as successful.
UK
9 Dec 2014
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