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Financial services update vol. 10, issue 26
  • Winston & Strawn LLP
  • United Kingdom, USA
  • August 3 2015

The pay ratio disclosure rule is back on the agenda for the Securities and Exchange Commission (the “SEC”). On July 29th, the SEC stated that it will


The Financial Report July 9, 2015 - news from Europe
  • DLA Piper LLP
  • European Union, United Kingdom
  • July 9 2015

The UK Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) published the final rules for the Senior Managers Regime, the


Service of contractual notices under standard form financial contracts - lessons to learn
  • Dentons
  • United Kingdom
  • December 6 2016

Where a contract sets down requirements for the service of notices under it, it is essential to comply with them strictly. Lord Hoffman famously said


Financial services update vol. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a


Judgments - so far this year
  • Dentons
  • European Union, United Kingdom
  • June 17 2015

This was a judgment of the European Court of Justice (ECJ). Mr Kolassa, who is domiciled in Austria, invested in certificates issued by Barclays in


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


Alleged Spoofer, Blamed for Partly Causing Flash Crash, Loses UK Extradition Hearing
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • March 27 2016

Navinder Sarao, the London-based futures trader who in April 2015 was sued by the Commodity Futures Trading Commission and criminally charged with


FCA proposes stricter rules for retail CFD business
  • CMS
  • European Union, United Kingdom
  • December 8 2016

On 6 December 2016, the Financial Conduct Authority (FCA) published a consultation paper (CP1640) proposing stricter rules for firms selling


MiFID2 - UK implementation update
  • Clifford Chance LLP
  • United Kingdom
  • December 6 2016

As the MiFID2 juggernaut Rolls into the national implementation phase the UK authorities are now in fourth gear on the production of UK


The Financial Report June 25, 2015 - news from Europe
  • DLA Piper LLP
  • European Union, United Kingdom
  • June 25 2015

The Joint Committee of the European Supervisory Authorities (ESAs) published a Technical Discussion Paper on risk, performance scenarios and cost