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Results: 1-10 of 69

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


FSA consults on operation of FCA and sets out PRA’s approach
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • October 19 2012

On October 16, the UK Financial Services Authority (FSA) published a consultation paper entitled Journey to the FCA, regarding how its successor regulator the Financial Conduct Authority (FCA) will operate


HM Treasury consults on financial services regulatory changes
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • October 19 2012

On October 15, HM Treasury published draft secondary legislation relating to the Financial Services Bill which is currently being considered by Parliament


FSA warns firms about financial promotions
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • September 28 2012

On September 21, the UK Financial Services Authority (FSA) released a speech entitled “Financial Promotions: Keeping Connected and Compliant” delivered by Clive Gordon, FSA’s Head of Conduct Risk


FSA publishes FAQs on transition to the FCA
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • August 3 2012

On July 31, the FSA Financial Services Authority (FSA) published a set of FAQs on the transition from the FSA to the successor regulator, the Financial Conduct Authority (FCA