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10 Key Regulatory Focus Areas for UKEuropean wholesale Markets in 2019

United Kingdom, European Union - January 3 2019 As we approach the end of the post-crisis regulatory reform agenda, we are still witnessing fast-paced regulatory developments that are undeniably and...

Rob Moulton, Stuart Davis, Anne Mainwaring, Nicola Higgs, Emily Torrens, Ella McGinn, Frida Montenius, Jonathan Ritson-Candler, David Berman, Brett Carr, Gabriel Lakeman, Sam Maxson, Jon Holland, Andrea Monks, Kishore Bhindi, Carl Fernandes, Denisa Odendaal.


Brexit and Financial Services Temporary Permissions

United Kingdom, European Union - December 18 2018 The UK regulators have set out further details of the rules they propose that inbound EEA firms will need to comply with when using the temporary...

Rob Moulton, Stuart Davis, Anne Mainwaring, Nicola Higgs, Ella McGinn, Frida Montenius, Jonathan Ritson-Candler, David Berman, Brett Carr, Gabriel Lakeman, Sam Maxson.


FCA Proposes Permanent Product Intervention Measures for Retail CFDs and Binary Options

United Kingdom, European Union - December 7 2018 The rules will echo ESMA’s temporary measures, however the FCA will extend the CFD restriction to capture closely substitutable products (such as...

Rob Moulton, David Berman, Gabriel Lakeman.


FCA to Clarify Scope of the Client Dealing Function

United Kingdom - November 30 2018 The FCA acknowledges that the scope of the Client Dealing Function needs to be clarified, and will consult on changes to its rules....

Stuart Davis, Nicola Higgs, Ella McGinn, Frida Montenius, Jonathan Ritson-Candler, David Berman, Brett Carr, Gabriel Lakeman, Sam Maxson.


FCA CP1836 The Second Brexit Onshoring Consultation

United Kingdom, European Union - November 29 2018 Under the Temporary Permissions Regime (TPR), the FCA intends to apply the Senior Managers and Certification Regime (SMCR) and the Approved Persons...

Rob Moulton, Stuart Davis, Nicola Higgs, Frida Montenius, Jonathan Ritson-Candler, David Berman, Brett Carr, Gabriel Lakeman, Sam Maxson.