News & Analysis as of August 29, 2025

Financial Conduct Authority (FCA)

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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 -

Crypto Exchange-Traded Products: Navigating the Intersection of Crypto and Securities

Jones Day on 8/21/2025

Direct ownership of crypto-assets or mere exposure to the value of crypto-assets is an investment decision, with both investment methods requiring specific approaches to mitigate and manage risks effectively....more

Draft Markets in Financial Instruments (Miscellaneous Amendments) Regulations 2025 published

A&O Shearman on 7/17/2025

The draft Markets in Financial Instruments (Miscellaneous Amendments) Regulations 2025 has been laid before the UK Parliament under the Financial Services and Markets Act 2023 (FSMA 2023), together with a draft explanatory...more

Europe: FCA Advances Efforts to Address the UK’s EU Legislative Legacy, Starting With MIFID

K&L Gates LLP on 3/11/2025

Following an HM Treasury policy statement, the FCA has published a consultation paper proposing amendments to some of the Markets in Financial Instruments Directive (MIFID) conduct of business and systems and controls rules...more

PISCES: Assessing Its Key Features and Potential Impact

Skadden, Arps, Slate, Meagher & Flom LLP on 12/3/2024

On 14 November 2024, the UK government published a response to its consultation on creating a new regulated market to trade shares in private companies: the Private Intermittent Securities and Capital Exchange System...more

Regulatory monitoring: EU version Newsletter - November 2024

A&O Shearman on 12/2/2024

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - FSB: 2024 list of global systemically important banks - Status: Final - The FSB has published a 2024 list of global systemically...more

UK Change in Control Regime – New Guidance published by the FCA and PRA

Proskauer - Regulatory & Compliance on 11/22/2024

In the United Kingdom, prior approval must be obtained from the Financial Conduct Authority (the “FCA”) or the Prudential Regulation Authority (the “PRA”) prior to becoming a “controller” of an FCA or PRA authorised firm (an...more

Private Markets Update | Summer 2024

McDermott Will & Schulte on 10/16/2024

The Private Markets Update highlights key developments emerging from private markets across Europe, the UK and the United States, exploring the cross-border issues that matter to investors and sponsors in alternative assets. ...more

UK Financial Conduct Authority Updates Timings on Smarter Regulatory Framework Work

A&O Shearman on 10/14/2024

Consumer Composite InvestmentsThe FCA plans to publish a consultation paper in H2 and a policy statement in H1 2025. Long Term Investment FundsThe FCA will review responses to its consultation on removing references to LTIF...more

Sector trends - September 2024: Stock Exchanges / Clearing Houses / Trading Venues

White & Case LLP on 10/2/2024

Cautious deployment of M&A war chests while concerns relating to IPO and equity market trading buoyancy continue. Current market: Fewer M&A deals as Europe's FMI tectonic plates digest acquisitions of yesteryear...more

Sector trends - September 2024: Payments

White & Case LLP on 10/2/2024

Equity and debt cheques from financial sponsors fuel growth, with investment committee appetite across the full spectrum from Seed through to late stage / pre-IPO. The payments sector bucks the trend on IPOs. Current...more

Regulation Round Up - August 2024 - 2

Proskauer Rose LLP on 9/11/2024

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

2024 Summer review – M&A legal and market developments

White & Case LLP on 9/6/2024

We set out below a number of interesting English court decisions and market developments which have taken place and their impact on M&A transactions. Our Summer review looks at these developments and gives practical guidance...more

Regulatory monitoring: EU version Newsletter - August 2024

A&O Shearman on 9/4/2024

1. Bank regulation - 1.1 PRUDENTIAL REGULATION a) General - (i) EU - EBA: Opinion on measures in accordance with Article 458 CRR following a notification by the De Nederlandsche Bank - Status: Final - The EBA has published an...more

Investment Research

Mayer Brown Free Writings + Perspectives on 6/20/2024

During his remarks at a meeting of the International Bar Association’s Asset Management Industry Conference on Global Challenges and Opportunities in Boston, Commissioner Uyeda commented on investment research and the...more

Regulation Round Up - May 2024

Proskauer Rose LLP on 6/12/2024

Key developments in May 2024: ESG: The Financial Conduct Authority (“FCA”) updated its webpage on the sustainability disclosure requirements (“SDR”) and investments labelling regime. Among other things, the webpage has been...more

UK's FCA consults on payment optionality for investment research

Eversheds Sutherland (US) LLP on 5/9/2024

The FCA consultation paper CP24/7 “Payment Optionality for Investment Research” considers the reintroduction of the bundling of research payments with broker’s execution fees....more

UK Conduct Regulator Proposes Payment Optionality for Investment Research

A&O Shearman on 4/12/2024

The U.K. Financial Conduct Authority has opened a consultation setting out proposals for allowing firms to use joint (bundled) payments for third-party research and execution services, subject to certain requirements being...more

FCA Preserves Key Tool for Activists in Listing Rules Reform

Skadden, Arps, Slate, Meagher & Flom LLP on 2/16/2024

Activist shareholders had a busy 2023: The incidence of activist campaigns in Europe soared by almost 70% compared to 2022, according to data compiled by Skadden and Activistmonitor. As we described in a previous issue of The...more

FCA Finalises UK Sustainable Investment Rules, With More To Follow After Further Consultation

Skadden, Arps, Slate, Meagher & Flom LLP on 1/8/2024

On 28 November 2023, the UK’s Financial Conduct Authority (FCA) unveiled its Policy Statement PS 23/16 (Policy Statement), which sets out the final rules for sustainability disclosure and investment labels (SDR Rules). The...more

Names and Claims – ESMA probes use of generic ESG terms in EU funds

Walkers on 10/4/2023

Yesterday, ESMA published a risk analysis report outlining the results of its disclosure study on ESG names and claims in the EU funds industry. ESMA utilised natural language processing ("NLP") techniques to analyse the...more

UK Enacts Legislation to Bring Cryptoassets Within Scope of Existing Financial Services Regulatory Regime

Akin Gump Strauss Hauer & Feld LLP on 9/21/2023

In a move with significant implications for the crypto sector, the UK has enacted legislation to bring cryptoassets within the scope of the existing financial services regulatory regime. The relevant provisions of the...more

MiFID II/MiFIR – divergence emergence?

A&O Shearman on 8/11/2023

Since the beginning of the Brexit transition period, developments in both the UK and EU have impacted the MiFID rules in various ways. In the UK, there have been changes under the EUWA on-shoring process; “quick-fix”...more

UK Investment Research Review Signifies Further EU-UK Divergence on Unbundling Research Rules

A&O Shearman on 8/8/2023

The report and recommendations of the UK Investment Research Review were published on July 10, 2023. The recommendations have been accepted by the government and the Financial Conduct Authority has committed to prioritizing...more

Key Regulatory Topics: Weekly Update 19 May - 25 May 2023

A&O Shearman on 6/28/2023

The consumer/retail sector has been the subject of a number of publications this week, including the European Commission’s Retail Investment Package and the FCA’s consultation on a new framework for firms to better support...more

The Future of Asset Management Regulation – The FCA’s Post-Brexit Review

Proskauer Rose LLP on 3/6/2023

Background On 20 February 2023, the United Kingdom’s Financial Conduct Authority (“FCA”) published a discussion paper (DP23/2) on updating and improving the UK regime for asset management (the “Discussion Paper”). As part...more

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