Articles

Results 1 to 5 of 10
Most popular |Most recent


Regulatory Outlook | Financial regulation | July 2021

United Kingdom - July 20 2021 The Financial Services Act 2021 is now law. The Act addresses issues relating to UK financial services and financial regulation arising from the UK's…

Anna Perry, Michael Carter.

Financial Conduct Authority entrenches ‘culture’ at centre of regulatory supervision

United Kingdom - April 15 2021 The UK regulator's focus on 'culture' means fund managers need to articulate their core purpose, ensure this is understood throughout their business…

Rachel Couter, Simon Thomas.

Financial Regulatory Newsletter | March 2021

European Union, United Kingdom - March 31 2021 Welcome to the first edition of our Financial Regulatory Newsletter. In this publication we will be looking at legal and financial regulatory…

Anna Perry, Chris Ratcliffe, Michael Lewis, Rachel Couter, William Maycock.

New UK prudential regime for MiFID firms

European Union, United Kingdom - March 31 2021 The Financial Conduct Authority's (FCA's) first consultation (CP20/24) on the proposed rules to introduce the UK's Investment Firm Prudential Regime…

Michael Lewis.

Regulator issues reminder of conduct of business obligations when dealing with retail investors

European Union - July 28 2020 The European Securities and Markets Authority (ESMA) has published a statement in response to an increase in retail investor activity amid the…

Helen Parsonage, Michael Lewis.