In light of recent efforts by UK and EU financial authorities to incorporate the SFTR, managers of Alternative Investment Funds and Undertakings for Collective Investment in Transferable Securities that engage in securities...more
Companies trading on either the London Stock Exchange’s Main Market or AIM should ensure that their systems and procedures reflect changes to their disclosure and other obligations arising from the implementation of the new...more
10/24/2016
/ AIM ,
Disclosure Requirements ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investor Protection ,
London Stock Exchange ,
Market Abuse ,
PDMR ,
Share Buybacks ,
UK
The new regime shares the same aims as its predecessor—to ensure the integrity of EU financial markets and enhance investor confidence—and keeps pace with market developments such as new trading platforms, new technology, and...more
7/11/2016
/ AIM ,
Burden of Proof ,
Disgorgement ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Securities and Markets Authority (ESMA) ,
Extraterritoriality Rules ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
FSMA ,
Insider Trading ,
Market Manipulation ,
Market Participants ,
Member State ,
MiFID II ,
UK ,
UK Brexit
The FCA has found that client hospitality events do not always enhance the quality of service to clients in line with its inducement rules....more
Removal of the Model Code and Disclosure Rules are among the important modifications.
On 5 November 2015, the UK Financial Conduct Authority (FCA) published its consultation paper addressing the changes it proposes to...more
UK regulators extend the new regulatory framework that governs individual accountability to banking and insurance.
The UK Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) published their...more
With a mandate from Parliament, the UK regulators are working on a new regime governing individuals in banks.
The UK Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) published a joint...more
12/16/2014
/ Banks ,
Credit Unions ,
Directors ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Managers ,
Prudential Regulation Authority (PRA) ,
Senior Insurance Managers ,
Senior Managers ,
Senior Managers Insurers Regime (SMIR) ,
UK
Changes to the use of dealing commission rules, including a ban on “softing” of corporate access services, reflect the FCA’s continuing objective to ensure that investment managers control the costs that they pass on to their...more
Long-heralded reform of the UK financial services regulation architecture impacts the listed company regime.
On 1 April, a new financial regulation architecture became operative in the UK through the Financial...more
The Financial Conduct Authority and the Prudential Regulation Authority begin work as the two new regulators in the wake of the long-heralded abolition of the Financial Services Authority....more
Handbooks for Financial Conduct Authority and Prudential Regulation Authority will replace FSA Handbook on 1 April.
On 8 March, the UK Financial Services Authority (FSA) published draft handbooksfor the two new...more