News & Analysis as of August 17, 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 -

UK Public Offers and Admissions to Trading Regime

Paul Hastings LLP on 8/1/2025

The principal regulations governing offers of securities to the public and admissions of securities to trading on regulated markets in the United Kingdom, including the requirements for a prospectus, are contained in the UK...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

Regulation Round Up - June 2025

Proskauer Rose LLP on 7/10/2025

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

FCA supports move towards faster settlement cycle for fund trades

A&O Shearman on 6/9/2025

The UK Financial Conduct Authority (FCA) has published a press release welcoming a joint statement from asset management trade associations supporting the transition to faster settlement of trades in funds. Effective from 11...more

FCA Extends Investment Research Payment Optionality to Fund Managers

Ropes & Gray LLP on 6/4/2025

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

Proposed Reform of UK Regime for Alternative Investment Fund Managers

BCLP on 5/23/2025

The Treasury (HMT) launched a consultation and the Financial Conduct Authority (FCA) published a call for input in April 2025 kick-starting a review of the UK’s regulatory regime for Alternative Investment Fund Managers...more

Update on MiCA Implementation: Implications for Copy Trading Services

Skadden, Arps, Slate, Meagher & Flom LLP on 5/5/2025

Since December 2024, cryptoassets and related services are regulated in the European Union by the Markets in Crypto-Assets Regulation (MiCA). Although the regulation provides a comprehensive set of rules for issuers of...more

ESG Focus: UK/EU/International ESG Regulation Monthly Round-Up – April 2025

Hogan Lovells on 5/5/2025

This month, we bring you a number of updates on the EU omnibus simplification package, including the ‘Stop-the-Clock’ directive entering into force delaying the application of CSRD and CSDDD and a formal complaint against the...more

UK Financial Insights from Katten | Issue 21

Katten Muchin Rosenman LLP on 4/24/2025

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

Regulation Round Up - March 2025

Proskauer Rose LLP on 4/4/2025

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

Bank of England discusses opportunities in innovating wholesale payments

A&O Shearman on 4/3/2025

Victoria Cleland, Executive Director of Payments, Bank of England (BoE) has given a speech on innovating wholesale payments: building a resilient and innovative future. In the speech, Ms Cleland discusses the BoE's innovation...more

FCA feedback statement on rule review in response to consumer duty

A&O Shearman on 4/1/2025

The Financial Conduct Authority (FCA) has published a feedback statement on immediate areas for action and further plans for reviewing FCA requirements following introduction of the Consumer Duty. It follows the FCA's call...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

Amid Chaos, Regulatory Change Continues Apace, March 2025 - Lessons From the FCA’s Fine of Infinox Capital

Cadwalader, Wickersham & Taft LLP on 3/10/2025

The FCA has fined Infinox Capital, a London-based broker, for breach of MiFIR transaction reporting requirements. Infinox failed to submit reports for some 46,053 transactions executed by its single-stock CFD (contract for...more

PRA and FCA Offer New Guidance on How Changes in Control Will Be Assessed

Skadden, Arps, Slate, Meagher & Flom LLP on 1/27/2025

On 1 November 2024, the UK Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) published a joint policy statement (PS 18/24) on the prudential assessment of acquisitions and increases in control. The...more

Regulatory monitoring - December 2024

A&O Shearman on 1/6/2025

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - FSB: Plenary December 2024 - Status: Final - The FSB has set out the outcomes of its Plenary that met on 3 and 4 December. Points of...more

UK Financial Conduct Authority Publishes Short Selling Update

A&O Shearman on 12/12/2024

The U.K. Financial Conduct Authority has provided an update on the notification and disclosure of net short positions. Firstly, the FCA is currently undertaking its biannual review of the U.K. List of Exempted Shares, which...more

UK Financial Conduct Authority Policy Statement on Changes to Financial Crime Guide

A&O Shearman on 12/11/2024

The U.K. Financial Conduct Authority has published a policy statement on changes to its financial crime guide, following its consultation in April. The changes cover the following areas: (i) sanctions—to reflect information...more

International Organization of Securities Commissions Publishes Consultation Report on Pre-Hedging

A&O Shearman on 12/2/2024

The International Organization of Securities Commissions has published a consultation report on pre-hedging. The report assesses potential conduct and market integrity issues associated with the practice of pre-hedging. IOSCO...more

HM Treasury Publishes Prudential Regulation of Credit Institutions (Meaning of CRR Rules and Recognised Exchange) (Amendment)...

A&O Shearman on 12/2/2024

HM Treasury has published the Prudential Regulation of Credit Institutions (Meaning of CRR Rules and Recognised Exchange) (Amendment) Regulations 2024, together with an explanatory memorandum....more

UK AI: existing regulators take the lead

A&O Shearman on 11/22/2024

As further initiatives come in to play and legislation is on the horizon, existing regulators (such as the ICO, CMA, Ofcom and FCA) continue to press on with their approach to AI regulation, including through the Digital...more

Bank of England Speech on Artificial Intelligence and Financial Stability

A&O Shearman on 11/8/2024

The Bank of England has published a speech by Sarah Breeden, BoE Deputy Governor, Financial Stability, on AI and financial stability. In the speech, Ms. Breeden explores the novel features of Generative AI, and how financial...more

Draft UK Packaged Retail and Insurance-based Investment Products (Retail Disclosure) (Amendment) Regulations 2024 Published

A&O Shearman on 11/5/2024

The draft Packaged Retail and Insurance-based Investment Products (Retail Disclosure) (Amendment) Regulations 2024 have been published, together with an explanatory memorandum. The Regulations make transitional amendments to...more

Regulatory monitoring: EU version Newsletter - October 2024

A&O Shearman on 11/4/2024

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) EU - ESRB: Speech on old and new frontiers of the ESRB: Systemic risk, non-banks and data analysis - Status: Final - The ESRB has published a speech by...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

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