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MiFID II: ESMA guidance on compliance function requirements
UK Tough Legacy Taskforce recommends LIBOR legislative fix: key risks and next steps
The month ahead in financial services regulatory developments…
Hong Kong SFC and HKMA to embark on thematic review on spread charges and client disclosure
The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) have announced that they will commence a concurrent thematic …
COVID-19: Temporary bans on short selling in the EU come to an end
Those national regulators in the EU which had put in place temporary restrictions on any short selling of securities admitted to trading on regulated …
The month ahead in financial services regulatory developments…
FCA publishes its Business Plan for 2020/21
ESMA proposes changes to MiFID II inducements and costs and charges disclosure regimes
On 1 April 2019 the European Securities and Markets Authority (ESMA) published its final report to the European Commission (EC) setting out its technical …
COVID-19: Pressure Points: FCA issues 'Dear CEO' letter with update to retail firms (UK)
The Financial Conduct Authority (FCA) has issued a ‘Dear CEO’ letter (the letter) with an update on key issues in light of COVID-19 to firms providing …
The month ahead in financial services regulatory developments…
House of Lords EU Financial Affairs Sub-Committee reiterates importance of UK-EU relationship in financial services after Brexit
On 27 March 2020, the House of Lords EU Financial Affairs Sub-Committee published a letter from its Chair, Lord Sharkey, to the Chancellor of the …
PRA and FCA publish guidance on key workers in financial services
On 19 March, the UK Government published guidance requesting that schools and other educational institutions provide limited care for children whose …
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