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New Guidance › United Kingdom › SMCR

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

Banking Standards Board Publishes Good Practice Guidance on Regulatory References

A&O Shearman on

The Banking Standards Board has published a statement of good practice for firms when providing and requesting regulatory references in accordance with the Senior Managers and Certification Regime. The SM&CR for banks and...more

BCLP

HR Two Minute Monthly: religious discrimination; early conciliation; regulatory references

BCLP on

Our March update covers recent developments in employment law, including cases on religious and race discrimination and early conciliation. We also outline other points of note, including the Banking Standards Board’s...more

White & Case LLP

ICOs and Security Tokens: FCA Consults on Crypto Guidance

White & Case LLP on

The UK FCA launched on 23 January 2019 its highly anticipated consultation1 (CP19/3) on Guidance for market participants as to where certain cryptoassets sit in relation to the regulatory perimeter - and whether relevant...more

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