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European Union › Final Rules › 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 -
Ropes & Gray LLP

FCA Extends Investment Research Payment Optionality to Fund Managers

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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

A&O Shearman

UK guidance on acquisitions and increases in control in PRA and FCA authorised firms

A&O Shearman on

The UK financial services regulators, the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA), have recently set out their final policy on the assessment of acquisitions and increases in control of PRA...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 30

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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

A&O Shearman

UK Regulator Finalizes Payment Optionality Rules

A&O Shearman on

Under the revised U.K. rules, from August 1, 2024, third-party research will not be an inducement if it is received in return for one of the following: The FCA has confirmed that research services are not a factor in...more

Skadden, Arps, Slate, Meagher & Flom LLP

Final UK Listing Rules Published by the FCA

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The Financial Conduct Authority (FCA) published the final Listing Rules, representing the most significant reform of the UK’s listing regime in over three decades, on 11 July 2024 following a period of extensive...more

Jones Day

UK FCA Publishes Sustainability Disclosure Requirements and Investment Labels

Jones Day on

On November 28, 2023, the UK's Financial Conduct Authority ("FCA") published its long-awaited final rules and guidance on Sustainability Disclosure Requirements ("SDR") and investment labels. According to the FCA, it intends...more

Skadden, Arps, Slate, Meagher & Flom LLP

UK Labeling Rules for ‘Sustainable’ Investment Products Will Soon Be Finalised

Skadden, Arps, Slate, Meagher & Flom LLP on

The consultation period for the UK Financial Conduct Authority’s (FCA’s) proposed rules for labelling ‘sustainable’ financial products formed or marketed in the UK ended 25 January 2023, and final rules are expected to be...more

A&O Shearman

UK Conduct Regulator Publishes Feedback and Final Rules on Proxy Advisors Regulations

A&O Shearman on

The U.K. Financial Conduct Authority has published a Policy Statement incorporating its response to the feedback it received on its proposals for the implementation of the Proxy Advisors (Shareholders' Rights) Regulations...more

A&O Shearman

UK Regulator Publishes Rules Restricting Sale of Contracts for Difference and Related Options

A&O Shearman on

The U.K. Financial Conduct Authority has published the Conduct of Business (Contracts for Difference) Instrument 2019, implementing product intervention measures designed to restrict the sale, marketing and distribution of...more

A&O Shearman

UK Regulator Delays Final Product Intervention Measures on Contracts for Difference

A&O Shearman on

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

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Hedging Policies, Examination Priorities, FINRA and EU Securitization...

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SEC/CORPORATE - SEC Adopts Final Rules for Disclosure of Hedging Policies - The Securities and Exchange Commission recently announced that it had at last adopted final rules to implement Section 14(j) (Disclosure of...more

Akin Gump Strauss Hauer & Feld LLP

UK Implementation of MiFID II (for Hong Kong and Other Asian Managers)

Akin Gump Strauss Hauer & Feld LLP on

The release by the UK Financial Conduct Authority (FCA) on 3 July 2017 of its final rules on the implementation of the revised Markets in Financial Instruments Directive 2014/65/EU and the new Markets in Financial Instruments...more

Akin Gump Strauss Hauer & Feld LLP

UK Implementation of MiFID II

Akin Gump Strauss Hauer & Feld LLP on

The release by the UK Financial Conduct Authority (FCA) on 3 July 2017 of its final rules on the implementation of the revised Markets in Financial Instruments Directive 2014/65/EU and the new Markets in Financial Instruments...more

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