FSR and Corporate Crime Notes

The month ahead in financial services regulatory developments…

The month ahead in financial services regulatory developments…

HMT Financial Services Future Regulatory Framework Review: call for evidence on regulatory coordination

FCA publishes latest policy statement and near final rules on SMCR

On 26 July, the FCA published its latest policy statement (PS19/20) on the Senior Managers and Certification Regime (SMCR), together with the near-final …

Regulators extend transitional direction powers in line with Brexit delay

The Financial Conduct Authority ("FCA"), Bank of England ("BoE") and Prudential Regulation Authority ("PRA") yesterday announced measures to extend …

The month ahead in financial services regulatory developments…

Royal Commission into the financial services industry in Australia: lessons for the UK?

The month ahead in financial services regulatory developments...

Report into supervision of the Co-operative Bank: lessons not just for regulators but also for firms

Authors: Jenny Stainsby, Vicky Man and Cat Dankos While there have been other reviews1 into the near failure of the Co-operative Bank ("Co-op Bank"), on …

Latest Shake-up of the Remuneration Provisions for Banks and Investment Firms Part 1: Investment Firms

FCA Report: Algorithmic trading compliance in wholesale markets

Relevant to both solo- and dual-regulated firms, the report reflects the findings of both firm-specific and cross-firm reviews into algo trading …

PRA and FCA provide feedback on the implementation of the Senior Managers' and Certification Regimes for banks and insurers, and propose adjustments to strengthen the regime

On 28 September 2016, the FCA and PRA (the Regulators) issued a suite of papers setting out their feedback on the implementation of the Senior Managers …