MiFIR / MiFID II: The European Parliament published a press release announcing it has reached provisional political agreement with the Council of the EU on the proposed amendments to the Markets in Financial Instruments...more
7/5/2023
/ AML/CFT ,
Capital Requirements Regulation (CRR) ,
Cryptoassets ,
CSDR ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
European Parliament ,
European Securities and Markets Authority (ESMA) ,
Exit Planning ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Agencies ,
Financial Services Industry ,
Handbooks ,
Investment Firms ,
Memorandum of Understanding ,
MiFID II ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
Rulemaking Process ,
Serious Fraud Office (SFO) ,
SFTR ,
Transparency ,
UCITS ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
6/6/2023
/ Alternative Investment Fund Managers Directive (AIFMD) ,
AML/CFT ,
Cryptoassets ,
ELTIF ,
ESRB ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Libor ,
MiFID II ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Risk Management ,
SFDR ,
UCITS
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in April 2023:
28 April FCA Handbook: The Financial Conduct...more
5/22/2023
/ Anti-Money Laundering ,
Artificial Intelligence ,
Asset Management ,
Bank Recovery and Resolution Directive (BRRD) ,
Capital Requirements Regulation (CRR) ,
CRD IV Directive ,
Cryptoassets ,
CSDR ,
Digital Assets ,
EMIR ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Central Bank ,
Financial Conduct Authority (FCA) ,
FinTech ,
Illiquid Assets ,
Libor ,
UK
31 March -
SFTR: The European Securities and Markets Authority (“ESMA”) published an updated version of its Q&As (ESMA74-362-893) on complying with reporting requirements under the Regulation on reporting and transparency...more
4/10/2023
/ Amended Regulation ,
AML/CFT ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
Capital Markets ,
Cryptoassets ,
Distributed Ledger Technology (DLT) ,
EMIR ,
Environmental Social & Governance (ESG) ,
EU ,
EU Benchmark Regulation ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
Financial Services Industry ,
MiFIR ,
Regulatory Agenda ,
Short Selling ,
UK
31 January -
The European Supervisory Authorities (“ESAs”) published a joint consultation paper (JC 2022 76) on the system established by the ESAs for the exchange of information relevant to the assessment of the fitness...more
Key developments in November 2022: The Financial Services and Markets Act 2000 (Qualifying Provisions) (Amendment) Order 2022 (SI 2022/1252) was published together with an explanatory memorandum. The amendments allow for the...more
12/6/2022
/ Capital Requirements ,
Cryptocurrency ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Financial Stability Board ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in October 2022:...more
11/2/2022
/ Bank of England ,
Capital Requirements Regulation (CRR) ,
CSDR ,
EMIR ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
SFDR ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
...more
10/5/2022
/ Bank of England ,
Capital Requirements Regulation (CRR) ,
Commission Delegated Regulation ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
Financial Services Industry ,
Infrastructure ,
MiFID ,
MiFID II ,
MiFIR ,
MREL ,
Prudential Regulation Authority (PRA) ,
TLAC ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in August 2022:
24 August -
The Financial Conduct Authority...more
9/7/2022
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Cryptoassets ,
Diversity and Inclusion Standards (D&I) ,
EU ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
New Regulations ,
Prudential Regulation Authority (PRA) ,
UK
Welcome to the UK Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in July 2022: ...more
8/11/2022
/ EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Act ,
Investment ,
Liquidity ,
MiFIR ,
Prudential Regulation Authority (PRA) ,
SFDR ,
Sustainable Finance
Key developments in June 2022:
30 June -
The Financial Conduct Authority (“FCA”) published a consultation paper (CP22/11) on winding down synthetic sterling LIBOR and USD LIBOR.
The Bank of England (“BoE”)...more
7/6/2022
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Blockchain ,
Distributed Ledger Technology (DLT) ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Regulatory Reform ,
Financial Services Industry ,
Regulatory Agenda ,
Taxonomy
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in May 2022:
31 May -
Key developments in May 2022: The European...more
6/13/2022
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Bank of England ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulatory Agenda ,
SFDR ,
UCITS ,
UK
Key developments in April 2022:
29 April -
The Financial Stability Board (“FSB”) published for consultation an interim report that recommends measures to assist supervisory and regulatory authorities in developing...more
5/6/2022
/ Asset Management ,
CRD IV Directive ,
EU ,
European Central Bank ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
Financial Services Industry ,
FSB ,
Investment Funds ,
Libor ,
Private Funds ,
Prudential Regulation Authority (PRA) ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
Key developments in March 2022:
31 March -
The European Securities and...more
4/8/2022
/ Cryptoassets ,
Environmental Social & Governance (ESG) ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
MiFID II ,
MiFIR ,
Private Equity ,
Regulatory Agenda ,
Regulatory Reform ,
Taxonomy ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation.
28 February -
The Financial Conduct Authority (“FCA”) published Handbook Notice...more
3/4/2022
/ EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
FSB ,
G20 ,
Investment Funds ,
Libor ,
Money Market Funds ,
Payment Services Directive ,
Regulation Technical Standards (RTS) ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more
2/3/2022
/ Bank Recovery and Resolution Directive (BRRD) ,
Cryptoassets ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
Investment ,
MiFID II ,
Money Laundering ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Regulatory Agenda ,
Structured Financial Products ,
UCITS ,
UK ,
UK Brexit
On 7 December 2021, the FCA published a second consultation paper (CP21/36) on the proposed "Consumer Duty" (the "Second Consultation"). The FCA's first consultation on this topic (CP21/13) was published in May 2021 and...more
Following the turn of the new year, our UK Regulatory specialists have examined the key regulatory developments in 2022 impacting a range of UK and European firms within the financial services sector. The key dates have been...more
1/20/2022
/ Alternative Investment Fund Managers Directive (AIFMD) ,
ELTIF ,
Environmental Social & Governance (ESG) ,
EU ,
EuSEF ,
EuVECA ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
Investment Firms ,
MiFID II ,
Money Laundering ,
Prudential Standards ,
Regulatory Agenda ,
SFDR ,
Sustainable Finance
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more
1/6/2022
/ Alternative Investment Fund Managers Directive (AIFMD) ,
AML/CFT ,
Central Counterparties ,
CSDR ,
Environmental Social & Governance (ESG) ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
MiFID ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Prudential Regulation Authority (PRA) ,
SMCR ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more
10/6/2021
/ EU ,
European Securities and Markets Authority (ESMA) ,
European Supervisory Authorities (ESAs) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Financial Services Industry ,
FSB ,
MiFID II ,
MiFIR ,
Money Laundering ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
Payment Systems Regulator (PSR) ,
Policy Statement ,
Prudential Regulation Authority (PRA) ,
Regulation Technical Standards (RTS) ,
Regulatory Agenda ,
UK
The Financial Conduct Authority (“FCA”) published a statement reminding firms about potential financial crime risks linked to Afghanistan. Commission Delegated Regulation (EU) 2021/1415 supplementing the Securitisation...more
9/3/2021
/ Afghanistan ,
Banks ,
Credit Rating Agencies ,
Debit and Credit Card Transactions ,
EIOPA ,
Environmental Social & Governance (ESG) ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Crimes ,
Information Sharing ,
Life Insurance ,
Prudential Standards ,
Repurchase Agreements ,
Sustainable Finance
The Basel Committee on Banking Supervision (“BCBS”) published a report jointly with the World Bank setting out the findings from a global survey on proportionality in banking regulation and supervision....more
8/3/2021
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Benchmarks ,
Capital Requirements Regulation (CRR) ,
CRD IV Directive ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Services Industry ,
Investment Firms ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Regulatory Agenda ,
Regulatory Requirements ,
SFDR ,
Supervisory Highlights ,
UCITS ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more
7/7/2021
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Capital Markets ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Fund Managers ,
HM Treasury ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
UK
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. ...more
Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more