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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


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


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


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 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


UK Senior Managers and Certification Regime to replace FCA approved persons rules for all UK authorized firms
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • October 30 2015

HM Treasury has announced as part of a new bill introduced in the UK parliament, that the current proposals for rules requiring senior banking


FCA announces changes to GABRIEL
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • September 18 2015

On September 14, the Financial Conduct Authority (FCA) published an update announcing changes to GABRIEL (Gathering Better Regulatory Information


FCA launches new UK Financial Services Register
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • September 11 2015

On September 3, the Financial Conduct Authority (FCA) published a press release in connection with its September 7 launch of a new and updated version


FCA requirement for legal entity identifiers
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 14 2014

On November 7, the UK Financial Conduct Authority (FCA) has confirmed that it will require all financial institutions conducting business in or from


FSA updates guide to the new PRA and FCA handbooks
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • February 22 2013

On February 19, the UK Financial Services Authority (FSA) published an updated "one-minute guide" summarizing the changes to the FSA Handbook that