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United Kingdom › Financial Services Industry › Policies and Procedures

Ropes & Gray LLP

The FCA Has Revamped its Enforcement Guide – Here’s What You Should Know

Ropes & Gray LLP on

On Tuesday the UK’s Financial Conduct Authority (FCA) issued an updated version of its Enforcement Guide, which will now be referred to as ‘ENFG’ in the FCA Handbook, to distinguish it from the previous version. The ENFG is...more

Latham & Watkins LLP

FCA Publishes Final Policy Position on Announcing Enforcement Investigations

Latham & Watkins LLP on

The regulator has dropped its proposed “public interest” test, but will take certain aspects of its proposals forwards. On 3 June 2025, the FCA published its final policy (PS25/5) on announcing enforcement...more

King & Spalding

EU DORA: Are you in scope, and if so, how can you prepare?

King & Spalding on

The Digital Operational Resilience Act (DORA) establishes a harmonised and comprehensive framework for information and communication technology (ICT) risk management in the financial sector. It is a directly applicable EU...more

WilmerHale

FCA Survey Results Reveal Rise In Nonfinancial Misconduct

WilmerHale on

Make no mistake, nonfinancial misconduct remains at the top of the Financial Conduct Authority's agenda. Originally published in Law360 - November 26, 2024....more

Walkers

Tokenisation Series - How to Guide - Getting regulatory approval to issue RWA tokens from Jersey

Walkers on

It is possible to issue RWA tokens using a Jersey company to act as the issuer. The Jersey regulator has published a guidance note on the tokenisation of RWAs. This guidance note sets out the applicable requirements and...more

A&O Shearman

UK FCA and PRA proposals for improving D&I: Senior Manager responsibility and oversight

A&O Shearman on

The latest proposals for improving diversity and inclusion in the UK financial services sector, published by the Financial Conduct Authority and Prudential Regulation Authority, include changes that will impact Senior Manager...more

Walkers

New independent compliance audit requirement in Guernsey

Walkers on

The Guernsey Financial Services Commission ("GFSC") updated its Handbook on Countering Financial Crime and Terrorist Financing (the "Handbook") in early July 2023 and the updates included a new requirement for a "specified...more

Sullivan & Worcester

Finally — It's Almost Here ... Electronic Trade Documents Act 2023

Sullivan & Worcester on

Jacqueline Cook, Of Counsel, and Larissa Head, Trainee Solicitor, sum up the key points of the Electronic Trade Documents Act 2023 (the Act) which will shortly receive Royal Assent and come into force two months later. ...more

Hogan Lovells

Market abuse surveillance: How to get it right

Hogan Lovells on

Identifying and reporting instances of potential market abuse is required under the Market Abuse Regulation ('MAR'). A firm must have effective arrangements, systems and procedures in place to detect and report suspicious...more

McDermott Will & Schulte

New Whistleblowing Regime Introduced by the Dubai Financial Services Authority

McDermott Will & Schulte on

On 7 April 2022, changes to DIFC Regulatory Law 2004 and the DFSA Rulebook came into force, to implement proposals concerning a whistleblowing regime that were consulted on by the DFSA in 2021. The Regime applies to all...more

A&O Shearman

UK FICC Markets Standards Board Announces Consultation on Draft Statement of Good Practice

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The U.K. FICC Markets Standards Board has published a Transparency Draft of its new Statement of Good Practice on Conflicts of Interest. The Statement aims to provide guidance for participants in the fixed income, currencies...more

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