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FCA reports on retail advice market
  • Dentons
  • United Kingdom
  • May 6 2016

FCA has published a report following its survey of firms providing retail investment advice to inform the Financial Advice Market Review and FCA’s

FCA confirms COMP changes
  • Dentons
  • United Kingdom
  • May 6 2016

FCA has published a policy statement confirming changes to the Compensation Sourcebook (COMP). See also FReD 29 April 2016 and FReD 4 December 2015

UK Regulator Consults on Regulation of Secondary Annuity Market
  • Shearman & Sterling LLP
  • United Kingdom
  • May 5 2016

On April 21, 2016, the FCA published a consultation paper on its proposed rules and guidance for the secondary annuity market due to start in April

The FCA's first year as a competition regulator - Competition and Markets Authority report
  • Berwin Leighton Paisner LLP
  • United Kingdom
  • May 3 2016

The FCA was granted 'concurrent' powers to enforce UK and EU competition law and investigate markets alongside the Competition and Markets Authority

FSCS announces its final levy for 201617
  • Dentons
  • United Kingdom
  • April 29 2016

FSCS has announced its final levy for 201617, at £337 million. This is £26 million less than the levy forecast in FSCS’s plan and budget. Most

Nutter Bank Report, April 2016
  • Nutter McClennen & Fish LLP
  • USA
  • April 28 2016

The FDIC has approved a proposed a rule that will be issued jointly with the other federal banking agencies, the Securities and Exchange Commission

Regulators Release Revised Proposed Executive Compensation Rules
  • Morgan Lewis & Bockius LLP
  • USA
  • April 26 2016

Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) instructed six federal financial regulatory

Fiduciary Rule and Puerto Rico in Focus for Financial Services Lawmakers; SEC, CFTC, FDIC to Hold Meetings
  • Squire Patton Boggs
  • USA
  • April 25 2016

Last week, on April 19, just one day after Senate Republicans introduced a resolution to disapprove and nullify the Department of Labor’s (DOL

Investment management legal regulatory update - April 2016
  • Morrison & Foerster LLP
  • USA
  • April 20 2016

The Department of Labor (DOL) issued its long-anticipated final regulation (the “Regulation”) defining who is a fiduciary as a result of giving

European Supervisory Authorities Report on Risks and Vulnerabilities in the EU Financial System
  • Shearman & Sterling LLP
  • European Union
  • April 14 2016

On April 7, 2016, the European Banking Authority, European Securities and Markets Authority and European Insurance and Occupational Pensions