News & Analysis as of August 18, 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 -

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

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

UK Financial Insights from Katten | Issue 19

Katten Muchin Rosenman LLP on 2/21/2025

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

The UK’s new lighter-touch short selling regime

A&O Shearman on 1/21/2025

The U.K. Short Selling Regulations 2025 (“SSR 2025”) have been made. This paves the way for the U.K. to repeal and replace the regime implemented while the U.K. was in the European Union and then onshored into U.K. domestic...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

Delegated Regulation Amending CRR Postponing Application Date of Own Funds Requirement for Market Risk Published in the OJ

A&O Shearman on 11/8/2024

Commission Delegated Regulation (EU) 2024/2795 amending the EU Capital Requirements Regulation with regard to the date of application of the own funds requirements for market risk has been published in the Official Journal of...more

UK Financial Conduct Authority Consults on New Regulatory Reporting Return for Consumer Credit Firms

A&O Shearman on 9/12/2024

The U.K. Financial Conduct Authority has published a consultation paper on a new regulatory reporting return for consumer credit firms engaging in any one, or more, of the regulated activities of credit broking, providing...more

ESG in 2024: A Midyear Review

Skadden, Arps, Slate, Meagher & Flom LLP on 7/29/2024

Environmental, social and governance (ESG) matters, and diverging opinions on approach, continued to dominate headlines across the globe in the first half of 2024. Companies and their stakeholders started the year navigating...more

Reminder to Managers re Upcoming Changes to EMIR Reporting

Akin Gump Strauss Hauer & Feld LLP on 4/22/2024

The European Market Infrastructure Regulation (EMIR) data reporting requirements apply to European Union (EU) funds and EU fund managers. UK EMIR imposes reporting requirements on UK funds and UK managers. The reporting...more

Regulation Round Up - February 2024

Proskauer Rose LLP on 3/5/2024

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

Regulatory monitoring Newsletter - February 2024

A&O Shearman on 3/4/2024

1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - ECB: Memorandum of Cooperation between ECB and CAs on third-country bank supervision - Status: Final - The ECB has published a Memorandum of...more

UK Data Reporting Services Regulations 2024 Published

A&O Shearman on 2/19/2024

On January 29, 2024, the Data Reporting Services Regulations 2024 (SI 2024/107) were made. The Data Reporting Services Regulations 2024 will enter into force on the same day that the Data Reporting Services Regulations 2017...more

UK FCA’s new package of sustainability disclosure requirements, labelling rules and anti-greenwashing rule

A&O Shearman on 12/20/2023

The Financial Conduct Authority’s (FCA) new package of sustainability disclosure requirements (SDR) and investment labelling rules is a key pillar of the UK government’s efforts to introduce an economy-wide SDR regime. All...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

Taskforce on Nature-Related Financial Disclosures – New and Updated Nature Reporting Recommendations Published

Proskauer Rose LLP on 9/25/2023

The NY Climate Week conference took place during the week of 18 September 2023, bringing together international leaders from business and governments. During the conference the Taskforce on Nature-related Financial...more

Recent Developments for UK PLCs

Latham & Watkins LLP on 2/13/2023

This first edition of 2023 covers recent guidance from the FCA’s Primary Market Bulletin 42 and Market Watch 71, major changes to the Takeover Code’s “acting in concert” presumptions, an FCA penalty for publishing misleading...more

ESG Market Alert – November 2022

Hogan Lovells on 11/14/2022

In this alert, we provide a round-up of the latest developments in ESG for UK corporates. In this month’s ESG Market Alert, we cover: The expanding scope of EU rules on ESG disclosures; FRC Lab launches project on...more

FCA Confirms New Rules to Improve Oversight of Appointed Representatives - Insights

Proskauer Rose LLP on 8/16/2022

On 3 August 2022, the UK’s Financial Conduct Authority (“FCA”) published a policy statement (PS22/11) on improvements to the appointed representatives (“ARs”) regime. The FCA consulted on amendments to the AR framework in...more

UK FCA consults on changes to MiFID II research and best execution reporting requirements

Hogan Lovells on 4/30/2021

The Financial Conduct Authority (FCA) has published a consultation paper, CP21/9, on some initial changes to its conduct and organisational requirements implementing the EU Markets in Financial Instruments Directive (MiFID...more

FCA publishes its Second Consultation on the Implementation of the UK Investment Firms Prudential Regime

Proskauer Rose LLP on 4/26/2021

On 19 April 2021, the Financial Conduct Authority (“FCA”) published the second out of three consultation papers on the implementation of the Investment Firms Prudential Regime (“IFPR”) (CP21/7). The IFPR is a new UK...more

EU Short Selling Regulation: ESMA to End Temporary Lower 0.1% Net Short Position Reporting Threshold

Akin Gump Strauss Hauer & Feld LLP on 3/23/2021

The European Securities and Markets Authority (ESMA) has announced that the temporary lower net short position reporting threshold of 0.1 percent under the EU Short Selling Regulation (SSR) with respect to shares traded on an...more

Corporate Governance Key Developments 2020

White & Case LLP on 11/30/2020

This briefing is the second in our series of briefings on corporate governance and is designed to provide a synopsis of topical corporate governance matters impacting companies in the United Kingdom. This briefing tracks the...more

The FCA Confirms New 0.1 Percent Net Short Reporting Will Be Required From 6 April 2020

Akin Gump Strauss Hauer & Feld LLP on 4/7/2020

The Financial Conduct Authority (FCA) has confirmed that it has adjusted its systems to facilitate reporting in accordance with the decision of the European Securities and Markets Authority (ESMA) of 16 March 2020 to...more

EIOPA Recommendations On Flexibility For Supervisory Reporting And Public Disclosure Deadlines

Hogan Lovells on 4/6/2020

The European Insurance and Occupational Pensions Authority (EIOPA) has on 20 March 2020 published recommendations on supervisory flexibility regarding the deadline of supervisory and public disclosure by insurers, in light of...more

In Principle: 10 Things Authorised Firms Need to Know for 2020

Akin Gump Strauss Hauer & Feld LLP on 1/30/2020

Welcome to the 2020 edition of In Principle. With the United Kingdom (UK) leaving the European Union (EU) on31 January 2020, and moving into a transition period which will last until 31 December 2020, Brexit of courselooms...more

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