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Searching Content indexed under Financial Services by Garon Anthony ordered by Published Date Descending.
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Treasury Committee Calls For Expansion Of FCA Powers
In a report published last week, the House of Commons' Treasury Select Committee ("Committee") recommended that the FCA should be given more powers to help it address the consumer harm occurring in the "grey area" that...
UK
9 Aug 2019
2
Forgoing An Unmeritorious Defence Held To Be Good Consideration By Court Of Appeal
The Court of Appeal in Simantob v Shavleyan [2019] EWCA Civ 1105 has held that an unmeritorious defence was good consideration for the variation of a settlement agreement.
UK
5 Aug 2019
3
PRA Explains Its Approach To Enforcement
At the Financial Services Lawyers' Association meeting last week, Miles Bake, Head of Legal at the Enforcement & Litigation Division of the Prudential Regulatory Authority (PRA) discussed
UK
26 Jul 2019
4
Employment Appeal Tribunal Provides Guidance On The FCA's ‘Fit And Proper Person' Test
In Radia v Jeffries International Limited, UKEAT/0123/18 the Employment Appeal Tribunal ("EAT") held that an employer, Jeffries International Limited ("Jeffries"),
UK
14 May 2019
5
The Partly Contested Process – A Part Success?
A recent speech by the Director of Enforcement and Market Oversight at the Financial Conduct Authority ("FCA") has highlighted the progress of the partly contested process for disciplinary action.
UK
10 May 2019
6
A Second Chance For PPI Complaints?
The Financial Conduct Authority ("FCA") has ordered firms to write to some complainants with previously rejected PPI complaints to tell them they may now be able to make a new complaint
UK
18 Feb 2019
7
English High Court Dismisses US $45 Million Fraud Claim Where Proceedings Already Up And Runnning In A Court In Another Jurisdiction
Where a claimant has already issued related Court proceedings in another jurisdiction, the English Court is unlikely to be the appropriate forum ...
UK
12 Feb 2019
8
FCA Consults On The Regulation Of ‘Crypto Firms'
The Financial Conduct Authority ("FCA") has published a consultation paper ("Guidance") providing guidance on the regulation of cryptoasset activities.
UK
4 Feb 2019
10
Happy New Year From The FCA. First Fines Of 2019 Confirm The Largest Ever For An Individual
After a relatively quiet year for fines in 2018, the Financial Conduct Authority ("FCA") has already published two Final Notices this week confirming the first fines of 2019 that total over £79 million.
UK
24 Jan 2019
11
FCA Warns Firms About Misleading Financial Promotions For Unregulated Products
Last week, the Financial Conduct Authority ("FCA") published a letter addressed to the CEOs of all regulated firms concerning financial promotions.
UK
18 Jan 2019
12
Lenders' Discretion And The Limitation Of The Braganza Duty
Where a lender has the absolute discretion to do something under a loan, their position will be protected according to the recent High Court decision in UBS AG v Rose Capital Ventures Limited,
UK
12 Dec 2018
13
Courts Prepared To Scrutinise And Limit Norwich Pharmacal Orders
A Norwich Pharmacal Order ("NPO") forces a third party to disclose documents or information to an applicant.
UK
7 Dec 2018
14
Former Keydata Boss Stuck With £76 Million FCA Fine
The Upper Tribunal, the independent Court that hears appeals from FCA decisions, last week upheld the regulator's decision to fine Stewart Ford.
UK
16 Nov 2018
15
FCA Enforcement: An New Approach?
The last 18 months or so has seen a slight readjustment or nuancing of the FCA's "credible deterrence" policy ...
UK
30 Oct 2018
16
Breaking News. FOS Money Awards And Jurisdiction: All Change In 2019?
In a move designed to (in their own words) ‘ensure more complainants receive fair compensation' and to ‘build consumer trust in the integrity of the industry' ...
UK
30 Oct 2018
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