Gabriel Lakeman

Latham & Watkins LLP

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Latest Posts › Financial Conduct Authority (FCA)

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First Details of Brexit Temporary Permissions Regime Published — Key Questions Answered

UK regulators expand on plans to smooth the transition for inbound passporting firms in the event of a “no deal” Brexit. Overview - HM Treasury published draft legislation on 24 July 2018 to establish a temporary...more

7/30/2018 / EU Passport , EU Single Market , European Economic Area (EEA) , Financial Conduct Authority (FCA) , HM Treasury , Prudential Regulation Authority (PRA) , UK , UK Brexit

Regulators Publish Final Rules on SMCR Extension

The FCA and the PRA have published their Policy Statements, setting out final rules on the SMCR regimes for insurers and FCA solo-regulated firms. Key Points: ..The FCA has announced that the extended SMCR will apply to...more

7/5/2018 / Final Rules , Financial Conduct Authority (FCA) , Prudential Regulation Authority (PRA) , Senior Management Regime (SMR) , Senior Managers Insurers Regime (SMIR) , SMCR , UK

Global Developments on Best Execution

Best execution is currently a hot topic for global regulators and the past year has seen notable regulatory focus in this area. Amid this development, firms are recommended to review their global best execution compliance...more

5/3/2018 / Best Execution , CFTC , Financial Conduct Authority (FCA) , Hong Kong Securities and Futures Commission (HKSFC) , MiFID II , Monetary Authority of Singapore , Securities and Exchange Commission (SEC) , UK

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