The Capital Ratio Podcast | Entering the US Banking Market
Great Women in Compliance: GWIC X EC Q2 2025 - Exploring Compliance Innovations
An Ounce of Prevention Podcast | The International Anti-Corruption Prosecutorial Taskforce and the Future of Global Enforcement
The LathamTECH Podcast — Where Digital Assets Slot Into a Shifting Fintech Regulatory Landscape: Insights From the US, UK, and EU
10 For 10: Top Compliance Stories For the Week Ending May 24, 2025
Daily Compliance News: May 23, 2025, The Gutless Wonders Edition
Daily Compliance News: May 21, 2025, The I Want You Back Edition
Everything Compliance: Episode 153, The CW 25 Edition
10 For 10: Top Compliance Stories For the Week Ending, May 3, 2025
Daily Compliance News: April 30, 2025, The 4 AM Wake-Up Call Edition
The Capital Ratio Podcast | Stablecoins: Regulatory Issues for UK and EU Banks To Consider
An Ounce of Prevention Podcast | Preparing for the UK Failure to Prevent Fraud Offence
Compliance into the Weeds: Global Anti-Corruption Leadership
Daily Compliance News: March 24, 2025, The ABC Task Force Edition
Daily Compliance News: March 18, 2025, The Slack Channel Edition
Podcast — UK FinReg Focus Areas in 2025: Retail Markets
Podcast — UK FinReg Focus Areas in 2025: Wholesale Markets
Fintech Focus Podcast | Navigating IT and Security Risks in Fintechs in Light of Impending DORA Deadline
The Standard Formula Podcast | The SFCR and Other Public Reporting: A Solvency II Cornerstone
Fintech Focus Podcast | Sanctions Compliance: Regulators Set Their Sights on Fintechs
The UK Chancellor of the Exchequer has announced details of the launch of the procurement process for the pilot digital gilt instrument (DIGIT) issuance. The pilot aims to: (i) enable the government to explore how distributed...more
Digitalisation and the application of key technologies, such as distributed ledger technology (DLT), are reshaping the landscape of global finance. In this report, TheCityUK has collaborated with Hogan Lovells to consider the...more
This articles provides some insights on the direction of travel in the UK in relation to distributed ledger technology (DLT) and digital assets, in light of recent legislative and policy developments that signal the UK’s...more
Earlier this year, the technology working group of HM Treasury outlined the initial stages of a strategic road map for the development of a fund tokenization industry in the U.K., with a final phase to be confirmed by the end...more
On 30 July 2024, the Bank of England published a discussion paper on its approach to innovation in money and payments (the Discussion Paper). A recurring theme is the Bank of England’s focus on the potential use of...more
On April 3, the U.K.’s Financial Conduct Authority and the Bank of England released a consultation paper seeking comments on their proposal to implement the Digital Securities Sandbox (DSS), a new regime for financial firms...more
31 March - SFTR: The European Securities and Markets Authority (“ESMA”) published an updated version of its Q&As (ESMA74-362-893) on complying with reporting requirements under the Regulation on reporting and transparency...more
The UK Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) recently published their Business Plans for 2022/23. The FCA also published a three-year strategy. But what does it really mean for firms? ...more
Key developments of interest over the last month include: HM Treasury announces package of crypto measures including next steps on UK regulatory approach to cryptoassets, stablecoins and DLT in financial markets; Philippines...more
Our Financial Services & Products London Team examines the UK’s foray into the regulation of cryptoassets in its effort to be ‘a global hub’ for crypto-companies....more
On April 4, 2022, the UK government announced plans to become a “global hub” for the cryptoasset industry with proposals for the regulation of stablecoins, development of an NFT (non-fungible token) issued by the Royal Mint,...more
On 7 January 2021, HM Treasury issued a consultation setting out its proposed approach to UK regulation of cryptoassets, including a regulatory framework for "stable tokens”. The consultation sets out only high-level...more
The virtual currency Bitcoin has been a hot topic in FinReg for some time, but in recent weeks mainstream interest in Bitcoin has grown in light of the approaching “halving” or “halvening.” So what is the “halvening” and why...more
Both the Commodity Futures Trading Commission and the Chicago Mercantile Exchange brought and settled charges against a CFTC-registered floor broker, claiming he engaged in spoofing trading activity on the CME. The two...more
Partners Julia Smithers Excell and Stuart Willey, and associate Laura Kitchen of global law firm White & Case take a deep dive on the latest publications from EU and UK regulators aimed at providing supervisory clarity on the...more
On January 23, 2019, the UK Financial Conduct Authority (“FCA”) issued its widely anticipated “Guidance on Cryptoassets” consultation paper CP19/3 (the “Consultation”). The Consultation followed the UK Cryptoassets Task...more
With crypto-currencies on the rise and technological developments providing great opportunities in the financial services sector, Initial Coin Offerings ("ICO") provide an innovative way of raising capital. They are...more
Upcoming Bitcoin exchange-traded funds (“ETF”) Decisions - On January 4, 2018, NYSE Arca filed a proposed rule change to list 9 Bitcoin ETFs. Subsequently, the time for the Security Exchange Commission (“SEC”) to approve or...more
On 29 October 2018, the U.K. Cryptoassets Task Force published its final report. What Is It? The Cryptoassets Task Force was launched in March 2018 by the Chancellor of the Exchequer and consists of the Treasury, the...more
U.S. Financial Industry Developments - FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry - On July 30, 2018, the Financial Industry Regulatory Authority ("FINRA") published a...more
BREXIT - Please see the Prudential Regulation section for updates on: (i) the record of the FPC meeting held on 12 March; and (ii) HMT’s recently published letter on the EC’s proposed package of reforms in relation to BRRD...more
The House of Commons Treasury Committee has launched an inquiry into digital currencies and distributed ledger technology in the U.K. The inquiry will consider the risks and opportunities of digital currencies for consumers,...more
Brexit - It is impossible not to mention Brexit which will be defined by the politics. 2018 is also likely to bring a significant increase in UK policymaking and related legislative change. We expect to see the publication...more
The Financial Conduct Authority has published a feedback statement on Distributed Ledger Technology, following the discussion paper it issued in April 2017....more
The FCA has published a Feedback Statement on Distributed Ledger Technology, setting out its views and proposed next steps. Key Points: ..Respondents to the FCA’s initial Discussion Paper were supportive of the FCA...more