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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


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