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SMCR Extension: FCA Publishes ‘Near Final’ Rules, Sets Implementation Date

United Kingdom - July 10 2018 The Financial Conduct Authority and Prudential Regulation Authority published policy statements on 4 July on the extended Senior Managers and...

Simon Currie, Louise Skinner, Steven Lightstone.

Financial Stability Board Consults on Compensation Data Reporting to Address Misconduct Risk

United Kingdom - May 17 2018 As part of its 2015 workplan to reduce misconduct risk in financial institutions, the Financial Stability Board is consulting on recommendations for...

Simon Currie, Louise Skinner, Steven Lightstone.

Are You KID-ing? New EU Rules Require Information Documents to Be Supplied to Retail Investors

European Union - February 16 2018 The EU regulation on key information documents (KIDs) for packaged retail and insurance-based products (PRIIPs) took direct effect in the European...

Simon Currie, Steven Lightstone.

SEC Tackles MiFID II Research Issues

USA, European Union - November 3 2017 On October 26, 2017, the staff of the Securities and Exchange Commission (SEC), following consultation with European authorities, issued three...

Amy Natterson Kroll, Brian J. Baltz, Roger P. Joseph, Timothy W. Levin, Steven W. Stone.

Outsourcing and Delegation - EU Commission Proposes Powers of Intervention

United Kingdom, European Union - October 30 2017 Aware of the risks of regulatory arbitrage developing post-Brexit, a key feature of the Commission's proposals allows ESAs to monitor the practices of...

Simon Currie.