Financial Conduct Authority (FCA)
Tough stance on insider trading at hedge funds getting results
David Kirk, the UK Financial Conduct Authority’s chief criminal counsel, says "dubious trading activity" has fallen by 50% in three years as FCA vows to continue crackdown on hedge fund traders
FCA sets thresholds for regulatory failure
Slip-ups resulting in more than £30m losses will merit investigation, UK regulator says
Prosecutions of senior executives ‘unlikely’ after crisis
Managers could argue they faced difficult market conditions, industry expert says
Changing hats – May 2013
Changing hats – May 2013
UK insurers ‘must adapt to dual compliance burden’ as new regulators begin to flex muscles
Firms braced for duplication of compliance work amid signs that framework for regulators to share information is not working, lawyers warn
AIFM Directive: investment managers ‘must prepare now’
Preparations must be made before AIFM Directive implemented on July 22, 2013
FSA announces final plans for Libor reform
Administrator forced to manage conflicts of interest
FSA director blasts BoE for failings in lead-up to financial crisis
Staff at the Bank of England were ill-equipped to deal with the crisis because they weren't working together, UK regulator tells convention
FSA secures 23rd insider dealing conviction
Former futures trader sentenced to four years in prison
FSA toughens insider dealing enforcement
Recent insider dealing prosecutions by the FSA have demonstrated a new regulatory commitment to pursue more complex cases. Financial institutions are under pressure to tighten up internal controls or face the bite of the watchdog
Uncertainty remains over post-FSA regulatory structure
Acts of reform
CBU director of policy to quit FSA
Sheila Nicoll to leave in April when the FSA transitions to the FCA
FSA outlines plans for Libor reform
Regulator will directly oversee calculation of benchmark rate
Mutuals warn of capital threat from UK 'twin peaks' regulation
Guidance needed on treatment of with-profits fund surpluses under new supervisory regime
FSA flexing its muscles with RDR letter, observers say
A "Dear CEO" letter from the FSA on RDR is seen as a harbinger of its new interventionist stance
Libor in need of ‘massive makeover’, CFTC’s Chilton says
CFTC's Chilton says a complete overhaul of Libor is needed - including distancing it from the BBA
UK regulation after the breakup of the FSA
Twin peaks regulation
Bank incentives called into question over mis-selling
Mis-selling in banks requires a cultural shift, chief executive says in response to FSA report
FSA crackdown on Ucis to hit private wealth management hardest
The potential ban on the sale of unregulated collective investment schemes to retail will also reduce the range of investments in the private wealth sector, say industry participants
Questions raised over FSA twin peaks structure
FSA begins its ‘twin peaks’ approach, but some participants say questions remain over how the new structure will work
Cole to leave UK FSA
Managing director's departure comes before regulatory overhaul
Lookback
Lookback
FSA reveals regulatory mission
FCA's Martin Wheatley says the FSA's power to ban investment products will not be used lightly or without good reason, tempering some of the statements emerging from the UK regulator over the past year