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Results: 1-10 of 85

FCA Publishes Consultation on Future Mission
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 11 2016

On October 26, the UK Financial Conduct Authority (FCA) published a consultation (Consultation) on its “future mission”which are the FCA’s


New Rules for Financial Services Regulatory References
  • Katten Muchin Rosenman UK LLP
  • United Kingdom
  • November 3 2016

Following their joint October 2015 consultation, the Financial Conduct Authority (FCA) and Prudential Regulatory Authority (PRA) published separate


FCA Publishes Feedback Statement on Smarter Consumer Communications
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • October 14 2016

On October 11, the UK Financial Conduct Authority (FCA) published a feedback statement (Statement) on smarter consumer communications. The Statement


FCA Publishes New Notification Form for Transaction Reporting Errors
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • September 23 2016

On September 15, the UK Financial Conduct Authority (FCA) published a new form (Form) to be used when notifying the regulator of transaction


FCA Announces Final Phase of Work on New Website
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • August 19 2016

On August 11, the UK Financial Conduct Authority (FCA) announced it was commencing the final phase of work on its new website. After years of


UK Treasury Committee Calls for a New UK Enforcement Body
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 29 2016

On July 26, the UK Treasury Committee published a review of reports (Report) into the failure of the UK banking group Halifax Bank of Scotland (HBOS


UK FCA Recognizes Value of Dark Pools but Urges More Public Details Regarding Operations and Conflicts of Interest
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 24 2016

The UK Financial Conduct Authority published a thematic review of dark pools, finding that, although it did not observe any failure to follow


FCA Occasional Paper on “Market-Based Finance” (a.k.a., Shadow Banking)
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • June 3 2016

On May 26, the UK Financial Conduct Authority (FCA) published an occasional paper (Paper) on "market-based finance" (MBF). The Paper, written by


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


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