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Searching Content by Craig Neilson from Dentons ordered by Published Date Descending.
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1
Priorities And Trends In FCA Enforcement – Where Should Firms Direct Their Resources?
The Financial Conduct Authority (FCA) recently published its latest Enforcement Annual Performance Report, covering the reporting year ending 31 March 2019.
UK
23 Aug 2019
2
Regulators Give Evidence On IT And Systems Failures
Representatives of the Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA) and the Bank of England recently gave evidence to the House of Commons Treasury Select Committee in relation to IT failures in...
UK
13 Aug 2019
3
Eleven Questions Answered On The Senior Managers And Certification Regime
In early July the FCA and the PRA published a number of documents relating to the extension of the Senior Managers and Certification Regime (SMCR) to those firms not currently subject to that regime.
UK
2 Aug 2018
4
SMCR – The Countdown Has Started
On 4 July, the FCA finally published a policy statement (PS18/14) containing feedback and the near-final rules on the extension of the Senior Managers and Certification Regime (SMCR) to FCA solo-regulated firms.
UK
26 Jul 2018
5
Implementation Of The Senior Managers Regime A Key Priority In The FCA's 2018/19 Business Plan
Notwithstanding the need to prioritise EU withdrawal work, the topic of culture and governance continues to be one of seven cross-sector priorities in the FCA's 2018/19 Business Plan published on 9 April.
UK
15 May 2018
6
Is It All Getting A Bit Out Of Hand? FCA Consultation Paper 17/40 On Transitioning FCA Firms And Individuals To The Senior Managers And Certification Regime (SMCR)
The FCA has proposed different categories of SMCR firm. Core scope SMCR firms will be subject to a "baseline" of requirements.
UK
30 Jan 2018
7
Privy Council Decision On Pre-Contract Representations In A Commercial Borrower-Lender Relationship
In November 2017, the Board of the Judicial Committee of the Privy Council (the Board) gave judgment on an appeal against, inter alia, liability under a commercial loan ...
UK
19 Jan 2018
8
Application For Summary Judgment Granted After Nine-Day Hearing
At first glance, it may seem something of a contradiction to hold a summary judgment hearing over nine days.
UK
19 Jan 2018
9
Quantum Of Damages Where Loan Advanced On The Basis Of A Negligent Valuation
In what Lord Sumption described as a "perfectly straightforward" result, the Supreme Court has considered the approach to determining the quantum of damages in a case where a property was negligently overvalued.
UK
19 Jan 2018
10
Choice Of English Governing Law Upheld Over Arguments Of Non-Shariah Compliance
In 2007, Dana Gas raised US$1 billion of financing (restructured in 2013) through the issue of Trust Certificates (Sukuk).
UK
19 Jan 2018
11
Duty Of Care Owed By Arranger In Relation To The Execution Of Sukuk Documents
This case concerned the inability of the claimants to recover sums pursuant to a promissory note (the Promissory Note) which formed part of the transaction documents for a sukuk ...
UK
19 Jan 2018
12
Effecting Service Of Proceedings On Uncommunicative Defendants
In this case, the High Court considered whether valid service had been effected upon two defendants based outside of the jurisdiction who had shown no willingness to be involved in the proceedings.
UK
18 Jan 2018
13
Preliminary Ruling On The Requirement For "Plain Intelligible Language" In Consumer Contracts
The Court of Justice of the European Union (CJEU) has made a preliminary ruling in relation to the interpretation of Directive 93/13/EEC on Unfair Terms in Consumer Contracts (the Unfair Terms Directive).
European Union
18 Jan 2018
14
Unfair Relationships Under The Consumer Credit Act 1974
In this case, the High Court considered: (1) whether the claimant (the Bank) was estopped from exercising its right to demand repayment and enforce security over the Defendants' assets ...
UK
18 Jan 2018
15
Substantially Negotiated LMA Facility Agreements Not Caught By Section 3 Of UCTA
In June, the Court of Appeal handed down judgment in an appeal that considered whether section 3 of the Unfair Contract Terms Act 1977 (UCTA) can catch facility agreements ...
UK
18 Jan 2018
16
Meaning Of Financial Institution And Right Of A Party Already In Default Under An ISDA Master Agreement To Terminate For The Default Of The Other Party
This claim was brought by the joint administrators of Olympia Securities Commercial Plc (the Company), a property developer. The dispute, however, was in reality between the two defendants.
UK
18 Jan 2018
17
Successful Claim For Damages For Breach Of FCA Rules In Relation To Advice And Whether A Decision Said To Amount To "Financial Suicide" Should Affect Causation
This claim related to investment advice allegedly given in breach of FCA rules. The claimants were a wealthy Kuwaiti family comprising a father and his three sons ...
UK
18 Jan 2018
18
Claim For Breach Of Mandate And Failure To Operate Stop Loss Protection Upheld Against Discretionary Fund Manager
This case concerned the claims of Mr Rocker (a successful businessman) against Full Circle Asset Management Limited (FCAM) ...
UK
18 Jan 2018
19
Unwinding A Loan Participation Where The Deadline For Meeting A Condition Has Expired
In October, the High Court held that the buyer of a portion of a loan facility was entitled to unwind its participation where the deadline for meeting a condition had expired.
UK
18 Jan 2018
20
Fetters On Contractual Discretion
BHL was successful in its claim against Leumi ABL Limited (Leumi) on the basis that Leumi had not been entitled to charge a collection fee of 15 per cent under a receivables finance ...
UK
18 Jan 2018
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