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ESMA opines on UK pension schemes clearing exemption
  • Dentons
  • European Union, United Kingdom
  • February 5 2016

ESMA has issued a set of opinions addressed to FCA regarding the exemption of 16 UK pension schemes from the obligation to centrally clear


Investment management update - 10 December 2015
  • Macfarlanes LLP
  • European Union, United Kingdom
  • December 17 2015

The Department for Communities and Local Government has published criteria and guidance for administering authorities following the announcement of a


IFAs quizzed by FCA over insistent clients
  • RPC
  • United Kingdom
  • December 15 2015

The FCA has asked IFAs to explain how they deal with situations where clients wish to act against advice on pension transfers. The FCA has sent a


FCA proposes changes to financial services compensation scheme sourcebook
  • Eversheds LLP
  • United Kingdom
  • December 4 2015

This week, the FCA published a consultation paper on proposed changes to some of the rules in its Compensation sourcebook. The paper is targeted


ISS revised voting policy
  • Squire Patton Boggs
  • United Kingdom
  • November 27 2015

The Institutional Shareholder Services has published an update to its benchmark voting policy. ISS has confirmed that it will make the following


UK Court of Appeal rules that an exclusive jurisdiction clause in a stock plan is unenforceable
  • Matheson
  • Ireland, United Kingdom
  • October 16 2015

On 31 July 2015, the English Court of Appeal handed down its judgment in Petter v EMC Europe Ltd and Anor 2015 EWCA Civ 828, which was an appeal


FCA consults on changes to pensions rules
  • Dentons
  • United Kingdom
  • October 9 2015

FCA has launched a consultation on changes to its rules and guidance that the new pensions environment requires. The proposals: set out FCA


Invest September 2015 - enforcement and financial crime
  • Addleshaw Goddard LLP
  • United Kingdom
  • September 30 2015

The High Court has ruled for the first time, exercising its powers under s.129 of the Financial Services and Markets Act 2000 to impose penalties


UK to review Financial Advice Market
  • Shearman & Sterling LLP
  • United Kingdom
  • August 5 2015

On August 3, 2015, the UK government announced the launch of the Financial Advice Market Review which will be led by HM Treasury and the Financial


Financial services update vol. 10, issue 24
  • Winston & Strawn LLP
  • United Kingdom, USA
  • July 20 2015

In April of this year, the Department of Labor (“DOL”) proposed a rule which amends the definition of “fiduciary” under the Employee Retirement