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Incoming FCA Head Identifies “Hubris Risk” As Among the Risks Banks Can Mitigate Only Through a Strong Culture
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • May 15 2016

Andrew Bailey, the incoming head of the UK Financial Conduct Authority (as of July 1, 2016), expressed his belief that "hubris risk" or the risk of


FCA Conduct Forum on MiFID II Implementation
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • May 13 2016

On May 10, the Financial Conduct Authority (FCA) published minutes of a conduct forum (Forum) held with trade associations to discuss the


UK FCA Advises on Implementation of Market Abuse Directive
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • May 1 2016

The UK Financial Conduct Authority published final rules on the Market Abuse Regulation scheduled to become effective in Europe on July 3, 2016. In


FCA Researchers Say No Evidence That HFTs Systematically Front Run Based on Information Advantages
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • April 17 2016

The UK Financial Conduct Authority issued a research paper disputing allegations that high-frequency traders "prey on other market participants and


UK Prudential Regulator Proposes Local Enhancements to European Regulations Governing Algorithmic Trading
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • March 27 2016

The UK Prudential Regulation Authority published proposed rules to implement the Markets in Financial Instruments Directive II and related provisions


Senior Managers Regime Goes Into Effect in the United Kingdom
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • March 11 2016

On March 7, the Senior Managers Regime (SMR) went into effect for UK-based banks and insurers, replacing the existing UK-approved person rules for


FCA and PRA Confirm That Bonus Cap Will Not Apply to Smaller Firms
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • March 4 2016

On February 29, the Bank of England and Financial Conduct Authority (FCA) published separate press releases in relation to the implementation of the


Complaints Commissioner Publishes Decision Urging the FCA To Consider Requirements for Firms To Disclose Unregulated Activities
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • March 4 2016

On February 2, the Office of the Complaints Commissioner published a decision urging the Financial Conduct Authority (FCA) to review rules for


UK Government Publishes Implementing Regulations for UCITS V
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • March 4 2016

On February 25, the UK government published the Undertakings for Collective Investment in Transferable Securities Regulations 2016 (Regulations


FCA Publishes Policy Statement on the Implementation of UCITS V
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • February 12 2016

On February 2, the Financial Conduct Authority (FCA) published a policy statement on the implementation of the Undertakings for the Collective