News & Analysis as of

Regulatory Oversight Financial Conduct Authority (FCA) Regulatory Agenda

A&O Shearman

FCA to launch new and improved Handbook website

A&O Shearman on

The UK Financial Conduct Authority (FCA) has announced its plan to launch a new and improved FCA Handbook website as part of its five-year strategy to enhance regulatory efficiency...more

A&O Shearman

FCA policy statement on finalised ENFG for the publication of enforcement measures

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published policy statement PS25/5 accompanied by a press release, outlining final revisions to its Enforcement Guide (now abbreviated as ENFG). The revisions follow a two-part...more

A&O Shearman

FCA proposes to launch AI live testing service

A&O Shearman on

The UK Financial Conduct Authority (FCA) has released an engagement paper, together with a press release, on proposals to launch AI live testing as part of the AI Lab. AI live testing will be open to all firms who have...more

A&O Shearman

A smarter regulator – the FCA’s shift in approach

A&O Shearman on

The UK Financial Conduct Authority (FCA) has set out its commitment to “become a smarter regulator” – one that is predictable, purposeful and proportionate. This may have been well received by firms, especially since, tonally...more

A&O Shearman

UK FCA multi-firm review findings on suitability reviews

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published a new webpage setting out their findings of whether financial advisers are delivering the ongoing advice services that consumers have paid for. The review focused on...more

A&O Shearman

House of Lords Committee report on proposal to publicise enforcement investigations

A&O Shearman on

The House of Lords Financial Services Regulation Committee (FSR Committee) published a report on the Financial Conduct Authority's (FCA's) proposal to publicise enforcement investigations, in the spirit of "naming and...more

A&O Shearman

UK Financial Conduct Authority writes to the Chancellor of the Exchequer on growth, strategy, its international role, and risk

A&O Shearman on

The Financial Conduct Authority has published a letter from Nikhil Rathi, FCA Chief Executive, and Ashley Alder, FCA Chair, to Rachel Reeves, Chancellor of the Exchequer. The letter sets out how the FCA is supporting growth,...more

White & Case LLP

AI Watch: Global regulatory tracker - United Kingdom

White & Case LLP on

The UK prioritizes a flexible framework over comprehensive regulation and emphasizes sector-specific laws. Laws/Regulations directly regulating AI (the “AI Regulations”) The UK government's AI Regulation White Paper of...more

Goodwin

The FCA’s AI Update: Integrating The UK Government’s 5 Principles

Goodwin on

In our previous alert AI and Machine Learning in UK financial services, we discussed the response in FS 2/23 of the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) to its discussion paper on...more

Morgan Lewis - Tech & Sourcing

Global Standard–Setter Publishes Revised Outsourcing Principles

The Board of the International Organization of Securities Commissions (IOSCO) has published a set of revised outsourcing principles for regulated entities. IOSCO is an international policy forum for securities regulators and...more

BCLP

The FCA’s new “game plan” - What do banks need to know about the FCA Business Plan for 2021/22?

BCLP on

Yesterday the FCA published its eagerly-awaited Business Plan for 2021/22 (the “Plan”), its publication having been delayed from April due to the pandemic and it being Nikhil Rathi’s first business plan since he was appointed...more

Hogan Lovells

The good, the bad and the ugly

Hogan Lovells on

One year on from Australia's Royal Commission on Banking - The report of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry (the Report), was published one year ago....more

A&O Shearman

UK Conduct Regulator Consults on Guidance on Managing Inside Information

A&O Shearman on

The U.K. Financial Conduct Authority has published a newsletter for primary market participants seeking feedback on draft best practice guidance for government departments, industry regulators and public bodies on the...more

Polsinelli

Regulatory Activity in the Digital Asset Space

Polsinelli on

The end of July saw continued regulatory activity in the digital assets space. This entry of BitBlog will cover some of the highlights. 1) The U.S. Securities and Exchange Commission (“SEC”) continues to dole out bits of...more

Hogan Lovells

French legal and regulatory update - December 2018 to January 2019

Hogan Lovells on

The Paris office of Hogan Lovells is pleased to provide this English language edition of our monthly e - newsletter, which offers a legal and regulatory update covering France and Europe for April 2018. ...more

A&O Shearman

UK Parliamentary Committee Calls For Urgent Regulation of Crypto-Assets

A&O Shearman on

The U.K. House of Commons Treasury Committee has published a report calling for crypto-assets to be regulated in the U.K. as a matter of urgency. The Treasury Committee considers that the current "ambiguity of the UK...more

16 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide