Tag Archives: UK Listing Authority

UK Listing Rules: fine for failing to identify related party transactions

The FCA’s recent fine for breaches of the Listing Rules, principally in respect of failures in systems and controls to identify related party transactions, illustrates the regulator’s focus on: systems and controls around related party transactions; the need to implement, as well as … Continue reading

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Filed under FCA, UK

UK regulatory reform – Responses to the Government consultation on “A new approach to financial regulation”

HM Treasury has published a summary of responses to its consultation on the reform of the UK financial services regulatory regime.  The paper confirms the Government’s decisions that the UK Listing Authority will remain within the Consumer Protection and Markets … Continue reading

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Filed under Europe, FSA, HM Treasury, JURISDICTIONS, Regulatory Reform, UK