The UK government has unveiled a comprehensive package of reforms aimed at recalibrating the regulatory environment, unlocking productive capital, and reinforcing the country’s status as a global financial hub. For asset...more
8/22/2025
/ Asset Management ,
Capital Requirements ,
Digital Assets ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
FinTech ,
Investment Management ,
Prudential Regulation Authority (PRA) ,
Regulatory Reform ,
Regulatory Requirements ,
Retail Investors ,
UK
In July 2025 HM Treasury and the Home Office issued the UK National Risk Assessment of Money Laundering and Terrorist Financing 2025 ('NRA 2025'), while the European Banking Authority (EBA) published its fifth Opinion on...more
8/13/2025
/ AML/CFT ,
Anti-Money Laundering ,
Asset Management ,
Beneficial Owner ,
Cryptoassets ,
EU ,
Fraud ,
Fund Managers ,
Investment Funds ,
Money Laundering ,
Risk Management ,
Sanctions ,
Trusts ,
UK
July saw a number of updates regarding the prevention of money laundering in the UK, reflecting the Government’s stated commitment to ensuring that compliance requirements are effective yet not unnecessarily onerous for the...more
The Financial Conduct Authority's (FCA) long-awaited new measures for tackling non-financial misconduct (NFM) in financial services are (finally) here. On 2 July 2025, the FCA published its final rules in Consultation Paper...more
7/31/2025
/ Code of Conduct ,
Compliance ,
Diversity and Inclusion Standards (D&I) ,
Employee Rights ,
Employment Discrimination ,
Employment Policies ,
Equality Act ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Harassment ,
New Rules ,
Policies and Procedures ,
Regulatory Requirements ,
Risk Management
Whilst not unexpected, the long-awaited review of the EU Sustainable Finance Disclosure Regulation (SFDR), originally scheduled for Q4 2025, is now likely to be delayed to Q1 2026. This follows the public and targeted...more
7/29/2025
/ Corporate Sustainability Reporting Directive (CSRD) ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
EU ,
European Parliament ,
Financial Services Industry ,
Greenwashing ,
Investment ,
Investment Funds ,
Regulatory Reform ,
Regulatory Requirements ,
Reporting Requirements ,
SFDR ,
Sustainability
On 15 July 2025, HM Treasury, the Financial Conduct Authority (FCA), and the Prudential Regulation Authority (PRA) published consultation papers proposing possibly significant reforms to the Senior Managers and Certification...more
ESMA has recently recommended notable amendments to the UCITS Eligible Assets Directive, which sets the standards for permissible investments by UCITS funds across Europe. These reforms could redefine permissible investment...more
The European Securities and Markets Authority (ESMA) has taken another step in its ongoing mission to combat greenwashing within the financial services sector. With the release of a new thematic note, ESMA aims to ensure that...more
7/11/2025
/ Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
European Securities and Markets Authority (ESMA) ,
Financial Institutions ,
Financial Markets ,
Greenwashing ,
Investment ,
Investment Funds ,
New Guidance ,
Regulatory Requirements ,
Sustainability ,
Sustainable Finance
On 30 June 2025, the European Securities and Markets Authority (ESMA) published its Final Report on the 2023-2024 Common Supervisory Action (CSA) concerning the integration of sustainability risks and disclosures within the...more
7/3/2025
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
EU ,
European Securities and Markets Authority (ESMA) ,
Fund Managers ,
Greenwashing ,
Investment Funds ,
Regulatory Requirements ,
Risk Management ,
Sustainability
A number of responses to the Consultation and Call for Input: Future regulation of alternative fund managers published by HM Treasury and the FCA on 7 April have been recently published. These reveal a diversity of views...more
6/19/2025
/ AIFM ,
Asset Management ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
Fund Managers ,
HM Treasury ,
Investment Funds ,
Proposed Rules ,
Regulatory Reform ,
Regulatory Requirements ,
UK
Last month the Financial Conduct Authority (FCA) set out its final rules related to the application of investment research payment optionality to fund managers. This move follows its consultation paper late last year which...more
6/4/2025
/ Asset Management ,
EU ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Fund Managers ,
Investment Funds ,
Investment Management ,
Payment Systems ,
Regulatory Reform ,
Regulatory Requirements ,
UK
Following the public and targeted consultation on SFDR launched in 2023 (the “Consultations”) and the anticipated publication of the new proposals in Q4 this year, the European Commission is providing the broader market with,...more
The UK's Financial Conduct Authority (FCA) launched a consultation in April 2024 to explore whether the existing Sustainability Disclosure Requirements (SDR) framework – introduced for asset managers in November 2023 – should...more
On 7 April 2025, HM Treasury published a consultation exploring whether the UK Government should simplify the regulatory framework for alternative investment fund managers (“AIFMs”) in the UK (the “Consultation”). At the same...more