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Regulatory update

European Union, United Kingdom - January 18 2021 Brexit briefly managed to dislodge COVID-19 from the headlines during the holiday period as the long-awaited end of the transition period was…

Craig Neilson, Jaime O'Connell, Katharine Harle.

The Share Trading Obligation after Brexit: diverging ESMA and FCA approaches

European Union, United Kingdom - November 6 2020 The European Securities and Markets Authority (ESMA) and UK Financial Conduct Authority (FCA) have recently published statements on their approaches…

Anna Janik, Nikolas Colbridge.

International compliance and FCA notifications: the ARCM case

United Kingdom - October 21 2020 The UK Financial Conduct Authority (FCA) has published a final notice fining Asia Research and Capital Management Ltd (ARCM) for breaches of short…

Katharine Harle, Michael Calladine.

Six weeks to go: frequently asked questions on the new conduct rules breaches report

United Kingdom - September 18 2020 All authorised firms must notify the FCA, by the end of October, of certain Disciplinary action taken against their staff. We seek to answer some of…

Craig Neilson, Katharine Harle.

Asset Management Newsletter - Summer 2020: Regulatory update

United Kingdom - July 22 2020 Clearly, the COVID-19 crisis has had an impact on the plans of financial regulators across the world. In the UK, the FCA and PRA have both postponed…

Craig Neilson, Jaime O'Connell, Katharine Harle.