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European Union › Derivatives › Financial Conduct Authority (FCA)

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of... more +
The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -
Katten Muchin Rosenman LLP

UK Financial Insights from Katten | Issue 19

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UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe....more

A&O Shearman

New UK Financial Conduct Authority Direction for the Derivatives Trading Obligation

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The U.K. Financial Conduct Authority has published a new direction for the U.K. derivatives trading obligation, together with an explanatory memorandum. The FCA's existing direction modifying the U.K. DTO using its Temporary...more

A&O Shearman

International Organization of Securities Commissions Report on Principles for the Regulation and Supervision of Commodity...

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The International Organization of Securities Commissions has published a report on a targeted implementation review on principles for the regulation and supervision of commodity derivatives markets. In October, IOSCO...more

A&O Shearman

CRT Transactions in the EU, U.K. and the United States

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In this bulletin, we consider the current state of the EU, U.K. and U.S. markets for credit risk transfer (“CRT”) transactions, with a particular focus on the fund finance market. For a more in-depth introduction to this...more

Jones Day

FCA Consulting on Proposed Changes to the Derivatives Trading Obligation

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The Background: In 2021, the Financial Conduct Authority ("FCA") and HM Treasury began consulting on the Wholesale Markets Review (the "Review"), a broad review of the structure, functioning, and regulation of secondary...more

Skadden, Arps, Slate, Meagher & Flom LLP

Taking Stock of Commodity Derivatives Regulation in the UK and EU

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In July 2021, HM Treasury published the Wholesale Markets Review consultation (WMR), which included proposals to reform the U.K.’s secondary markets framework. There was broad support for reforms to (a) modify the ancillary...more

Proskauer Rose LLP

Regulation Round Up - December 2023

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Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation. Key developments in December 2023: 21 December - UK / Swiss Regulatory...more

A&O Shearman

LIBOR Transition: Further Proposed Changes to EU Clearing and Derivatives Trading Obligations

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The European Securities and Markets Authority has opened a consultation on proposals to amend the EU clearing and trading derivative obligations to reflect recent benchmark transitions from LIBOR to so-called risk-free rates....more

A&O Shearman

European Securities and Markets Authority Provides Regulatory Forbearance for EU Clearing and Derivatives Trading Obligations in...

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The European Securities and Markets Authority has issued a statement in which it states that EU national regulators should not, from January 3, 2022, prioritize supervisory action for any failures by firms to comply with the...more

A&O Shearman

UK Financial Conduct Authority Confirms Approach to Supervision of Commodity Derivatives Position Limits Regime

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The U.K. Financial Conduct Authority has published a statement confirming its approach to supervising commodity derivatives position limits. The statement follows the FCA's Supervisory Statement on the operation of the...more

A&O Shearman

European Commissioner Announces Proposed Extension of Equivalence for UK CCPs

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European Commissioner McGuinness has announced that in early 2022 the European Commission will be proposing an extension of the time-limited equivalence granted to U.K. CCPs...more

Latham & Watkins LLP

HM Treasury Consults on UK Wholesale Markets Reform

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Proposals signal that the UK government is willing to diverge significantly from EU rules. On 1 July 2021, HM Treasury published a consultation on its Wholesale Markets Review....more

McGuireWoods LLP

Update on Benchmarks Reform in Derivatives

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On 27 July 2017, the chief executive of the Financial Conduct Authority, Andrew Bailey, announced that the London Interbank Offered Rate (LIBOR) may not continue to be available after 2021. Since this announcement, a number...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Global AML Warnings and Guidance, US Agencies Join the GFIN

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FINANCIAL MARKETS - FATF Updates List of AML/CFT Deficient Jurisdictions - On October 18, the Financial Action Task Force (FATF) published its updated list of jurisdictions that have strategic anti-money laundering...more

Latham & Watkins LLP

Latest UK Developments on the Regulation of Cryptoassets

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FCA finalises guidance on cryptoassets and consults on product intervention measures. FCA guidance on the regulation of cryptoassets - As previously reported in this blog, the FCA consulted on guidance on cryptoassets...more

White & Case LLP

Financial Regulatory Observer – June 2019: No-deal Brexit: Challenges for trading venues and their participants

White & Case LLP on

There is no silver bullet for maintaining cross-border trading if the UK leaves the EU without a deal. The date of Brexit has been delayed until (at least) October 31, 2019, but there is little sign that financial...more

A&O Shearman

UK Regulator Delays Final Product Intervention Measures on Contracts for Difference

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The Financial Conduct Authority has published a statement on the delay to publication of final rules for contracts for difference products and CfD-like options. The FCA has consulted on its proposals to make European...more

White & Case LLP

The Delta Report - Derivatives Newsletter - March 2019: A Brief Review of BMR Changes in the FCA Handbook

White & Case LLP on

BMR continues to develop its impact in the different industry sectors that rely on benchmarks, e.g., derivatives, capital markets, banking, etc., as well domestic regulations. In this article, we do not look at a particular...more

A&O Shearman

UK Financial Conduct Authority on Onshoring the EU Temporary Product Intervention Measures

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The U.K. Financial Conduct Authority has published a statement on onshoring of the European Securities and Markets Authority's temporary product intervention measures on retail contracts for difference and binary options...more

Herbert Smith Freehills Kramer

Cooperation in Derivatives in a No-Deal Brexit Environment

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With the date for the United Kingdom to leave the European Union rapidly approaching, several recent developments concerning derivatives (both legal and political) are likely to be of interest to UK and EU27 counterparties....more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA and the FCA Offering Guidance on Cryptocurrencies

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BROKER-DEALER - FINRA Releases 2019 Annual Risk Monitoring and Examination Priorities Letter - On January 22, the Financial Industry Regulatory Authority (FINRA) issued its annual Risk Monitoring and Examination...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on NFA Compliance Updates for CPOs and Swaps, and Brexit and No-Deal...

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BROKER-DEALER - FINRA Issues Report on Examination Findings - This month, the Financial Industry Regulatory Authority (FINRA) issued a report summarizing various findings from recent examinations of its member firms...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, Brexit, EEA Passport Rights and MLD4

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EU /BREXIT DEVELOPMENTS - EEA Passport Rights Regulations 2018 Published - On November 7, the European Economic Area (EEA) Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

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U.S. Financial Industry Developments - FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry - On July 30, 2018, the Financial Industry Regulatory Authority ("FINRA") published a...more

A&O Shearman

EU and UK Authorities Clarify Clearing Obligation Expectations for Pension Schemes

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The European Securities and Markets Authority has published a statement on the transitional exemption from the clearing obligation for pension scheme arrangements under the European Market Infrastructure Regulation and...more

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