All blog posts
Showing 48 out of 52 results
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: Governance: FCA and PRA publish statements on their expectations for regulated firms under SMCR (UK)
[This post was last updated on 11 May 2020 to reflect the latest FCA publication on SMCR for solo-regulated firms] The PRA and FCA have published two …
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 …
COVID-19: Short selling restrictions and other reporting developments in the EU
[This post was last updated on 16 April 2020 to reflect the extensions to the temporary bans on short selling by EU national regulators] SHORT SELLING …
FCA publishes information for firms on COVID-19
The FCA has published information for firms on COVID-19. Communication with the FCA will be key as the situation evolves, and we recommend that firms …
The month ahead in financial services regulatory developments…
SFC clarifies licensing obligations of PE firms and family offices which conduct business in Hong Kong
On 7 January 2020, the Securities and Futures Commission (SFC) issued two circulars to clarify aspects of the licensing obligations applicable to private …
Building Operational Resilience: UK regulators launch consultations
Corporate Crime update - December 2019
The month ahead in financial services regulatory developments…
Showing 48 out of 52 results
View more