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FSR and Corporate Crime notes Blog

Articles: 1-10 of 464

HMT publishes a second Consultation Paper on the financial services future regulatory framework review

United Kingdom - November 10 2021 On 9 November 2021, HM Treasury (HMT) published a consultation paper on the Future Regulatory Framework Review for financial services. This paper…

FCA’s data lead sets out the regulator’s data agenda

United Kingdom - November 4 2021 On 2nd November 2021, Jessica Rusu, the Chief Data, Information and Intelligence Officer at the Financial Conduct Authority (FCA) spoke at the Chief…

November 2021: The month ahead in financial services regulatory developments…

European Union, United Kingdom - October 28 2021 In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation which are…

PRA Seeks to Clarify Meaning of ‘Insurance Holding Company’

European Union, United Kingdom - October 28 2021 The PRA is proposing to introduce a new definition of ‘insurance holding company’ into its rulebook (CP17/21). The change means that some companies…

Enforcement cases highlight HK SFC’s expectations of sponsor due diligence in IPOs with red flags

Hong Kong - October 26 2021 Two separate Disciplinary actions reported last week against IPO sponsors in Hong Kong provide important reminders as to the regulatory due diligence…

Hong Kong Stock Exchange proposes SPAC listing regime with strict criteria

Hong Kong - October 8 2021 The Hong Kong Stock Exchange has launched a consultation paper on proposals to create a listing framework for special purpose acquisition companies…

October 2021: The month ahead in financial services regulatory developments…

European Union, United Kingdom - October 1 2021 In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation which are…

Pooled audit: a welcome step forward, but not yet over the line…

United Kingdom - September 21 2021 The option to participate in collective assurance activities is welcome, but this article which was originally published in the September 2021…

September 2021: The month ahead in financial services regulatory developments…

European Union, United Kingdom - August 31 2021 In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation which are…

European Commission considers amendments to the EU Blocking Statute and seeks public feedback

European Union, United Kingdom - August 10 2021 The European Commission has recently published a new roadmap / inception impact assessment relating to the review of the current Blocking Statute…