News & Analysis as of

FinTech Investment Funds United Kingdom

Goodwin

FCA Non-Financial Misconduct Rules: Private Fund Managers, Fintechs, and Other Non-Banks Firmly in Scope

Goodwin on

In a previous alert, “FCA D&I Standards for Large Firms Abandoned (for now), Non-financial Misconduct Rules Delayed (but Still Important),” we discussed the proposals put forward by the UK Financial Conduct Authority (FCA)...more

A&O Shearman

Regulatory monitoring - November 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) Germany - BReg: Government draft on the Second Future Financing Act (Regierungsentwurf zum zweiten Zukunftsfinanzierungsgesetz) Status: Draft - The...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 5

On July 27, 2022, FINRA filed a proposed rule change with the SEC to make it easier for brokers to work from home. The proposed rule will add a category termed a “Residential Supervisory Location” under FINRA Rule 3110...more

Hogan Lovells

Funds and asset management regulatory news, September 2020 # 3

Hogan Lovells on

ELTIF Regulation review: European Commission consults on inception impact assessment - The European Commission has published for consultation an inception impact assessment relating to its review of the Regulation on...more

White & Case LLP

Financial Institutions M&A: Sector trends - June 2019: Stampede of the unicorns

White & Case LLP on

Financial institutions M&A sector trends: fintech — H1 2019 and outlook for H2 2019 - H1 2019 has seen European fintech M&A hit new heights. Fintechs have enjoyed funding support from established financial institutions,...more

A&O Shearman

Financial Regulatory Developments Focus - November 2018 #2

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - October 2018 #3

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - June 2018 #3

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Hogan Lovells

Expect the Unexpected: The Year Ahead for the Financial Institutions Sector

Hogan Lovells on

With contributors across the sector and the globe, we've compiled a review of some of the developments that will affect financial institutions in 2017 and beyond. The one thing that 2016 taught us was to expect the...more

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