Results 1 to 5 of 127

Court of Appeal Takes Expansive View of Regulated “Arranging” Activities

Global, United Kingdom - October 13 2021 In a recent decision, the Court of Appeal upheld the FCA’s findings that unregulated introducers had been carrying on regulated activities without…

Charlotte Collins, Nicola Higgs

Private Bank Briefing - September 2021

European Union, USA - September 28 2021 On 26 July 2021, the European Commission published its long-awaited Q&A on the EU Sustainable Finance Disclosure Regulation (SFDR), in response to…

Charlotte Collins, Nicola Higgs, Anne Mainwaring

FCA Proposes Enhanced Disclosures on Diversity and Inclusion for Listed Companies

United Kingdom - August 23 2021 The UK Financial Conduct Authority (FCA) has launched a consultation setting out proposed changes to its Listing Rules (LRs) and Disclosure Guidance…

Chris Horton, James Inness, Anna Ngo, Johannes Poon

UK to Adopt a New SPAC Listing Regime From 10 August 2021

European Union, United Kingdom - July 29 2021 The revised criteria allow UK-listed SPACs to avoid a suspension of their shares when announcing a de-SPAC deal…

David Berman, Charlotte Collins, Nicola Higgs, Chris Horton, James Inness, Anna Ngo

HM Treasury Initiates Post-Brexit Review of the UK’s AML and CTF Regime

European Union, United Kingdom - July 29 2021 Recent publications come in light of UK’s “greater autonomy” in setting AML and CTF regulations following Brexit…

Jon Holland, Jonathan Ritson-Candler