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Results: 1-10 of 109

FCA Aims to Hold Senior Managers More Accountable for Firm Misconduct Under Their Responsibility
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • February 7 2016

The Financial Conduct Authority finalized a policy statement making clear that senior managers of banks can be held accountable for regulatory


FCA Publishes “Dear CEO” Letter in Relation to Client Take-On Procedures for CFD Products
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • February 5 2016

On February 2, the Financial Conduct Authority (FCA) published a “Dear CEO” letter (Letter) setting out the FCA’s findings from a review of client


Hedge Fund Standards Board Publishes Findings From First Cyber-Attack Simulation
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom
  • January 29 2016

On January 21, the Hedge Fund Standards Board (HFSB) released the results of its first cyber-attack simulation (via a press release dated January 19


FCA Clarifies Senior Managers Regime Expectations for Individuals With Overall Responsibility for a Firm’s Legal Function
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • January 29 2016

On January 27, the Financial Conduct Authority (FCA) announced plans to consult on the application of the Senior Managers Regime (Regime) to


FCA Consults on Roll-Out of MiFID II in UK
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom
  • December 20 2015

The Financial Conduct Authority issued a consultation paper seeking view on its proposed rollout of MiFID II in the United Kingdom. Although it is


FCA Consultation on Implementation of MiFID II in UK Rules
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • December 18 2015

On December 15, the Financial Conduct Authority (FCA) published an initial consultation paper (Consultation Paper) on implementing the revised and


FCA to study competition in the asset management industry
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 22 2015

The Financial Conduct Authority indicated that it will look into competition in the asset management industry for both retail and institutional


FCA enforcement: recent action against former investment analyst for “cherry picking”
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 20 2015

On November 17, the UK Financial Conduct Authority (FCA) published its final notice addressed to Mothahir Miah, a former investment analyst at a


Recent FCA commentary on internal investigations by firms
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 13 2015

On November 6, the UK Financial Conduct Authority (FCA) published a speech by Jamie Symington, director in enforcement (wholesale, unauthorized


FCA consults on implementation of Market Abuse Regulation
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 8 2015

The UK Financial Conduct Authority is seeking comments on proposed guidance (amendments to the FCA's Handbook) regarding the European Union's Market