Kirsten Lapham
Ropes & Gray LLP
Articles
EU adopts new rules on marketing investment funds
European Union, United Kingdom - June 27 2019 The EU has now adopted supplementary rules on how funds are marketed to professional investors in the EU that the European Parliament voted on in…
New FCA Regime Will Emphasize Individual Accountability
European Union, United Kingdom - June 14 2019 From Dec. 9, 2019, all Financial Conduct Authority solo-regulated firms, as well as European Economic Area and third-country branches will be subject…
FCA 2019/20 Business plan released highlighting conduct supervision and financial crime as key focus
European Union, United Kingdom, USA - April 25 2019 The Financial Conduct Authority (“FCA”) has released its Business Plan for 2019/20, in which it sets out its areas of focus for the coming year, and…
Investment Firms Post-Brexit: EU Provisionally Agrees to Regulatory Supervision Framework
European Union, United Kingdom, USA - March 13 2019 EU policy makers recently reached a provisional agreement on a package of measures, which may tighten UK financial services firms' access to EU…
Senior Managers and Certification Regime: Major changes on the horizon
European Union, United Kingdom, USA - February 11 2019 From 9 December 2019, all FCA solo regulated firms, as well as EEA and third country branches will be subject to the Senior Managers and…
