Results 1 to 5 of 8

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…

Eve Ellis, Max Klinger

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…

Rosemarie Paul

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…

Rosemarie Paul, Judith Seddon, Chris Stott

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…

Rosemarie Paul, Judith Seddon

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…

Rosemarie Paul, Chris Stott