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MiFID 2: Changes to Client Assets Requirements

European Union, United Kingdom - February 23 2016 Previous articles in our MiFID 2 series have considered the effects of MiFID 2 on, among other things, dealings with customers, advice, transparency…

Financial crime controls

United Kingdom - November 19 2014 In November 2014, FCA published the results of two thematic reviews into how firms manage their financial crime risks, together with proposed…

Luca Salerno.

Contractual recognition of bail-in powers

United Kingdom - July 1 2015 Not just another clause for banks to add to their contracts, the compulsory inclusion of references to new bail-in powers in certain contracts will…

Financial Regulatory Developments 6 February - Financial Conduct Authority (FCA)

United Kingdom - February 6 2015 FCA has confirmed the final rules requiring firms to set up and maintain independent governance committees (IGCs). IGCs will represent the interests…

Josie Day, Juan Jose Manchado, Michael Wainwright.

Financial Regulatory Developments 12 June - Prudential Regulation Authority (PRA)

United Kingdom - June 12 2015 PRA has published a supervisory statement on its approach to supervising liquidity and funding risks to go alongside its Policy Statement and final…

Juan Jose Manchado, Michael Wainwright.