Celyn Armstrong

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ESG Investments: Assessing the litigation and regulatory risk of ESG failings - Part 2: Regulatory risk from investment "greenwashing"

United Kingdom - December 9 2021 The central FCA requirement regarding communications to investors is Principle 7 of its Principles for Businesses…

Felicity Ewing, Katharine Harle

FCA-regulated firms face a higher standard of consumer care

United Kingdom - July 14 2021 The FCA is currently consulting on a Consumer Duty that would set clearer and higher expectations for firms’ standards of care towards consumers. The…

Jaime O'Connell

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…

Katharine Harle, Craig Neilson, Jaime O'Connell

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…

Nikolas Colbridge, Anna Janik

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…

Michael Calladine, Katharine Harle