“FSR and Corporate Crime notes” is Herbert Smith Freehills’ new know-how blog where you will find the latest developments on financial services regulatory and corporate crime topics.
Articles: 1-10 of 513
Express consent needed for collateral use of Mutual Legal Assistance material in FCA civil proceedings
United Kingdom - November 28 2022 The High Court has declined to strike out civil proceedings brought by the Financial Conduct Authority (FCA) in respect of alleged market abuse, even…
More light in the dark? A first analysis of ESAs Q&A on the SFDR Delegated Regulation published on 17 November 2022 for the asset management industry
European Union - November 21 2022 On 17 November 2022, the European Supervisory Authorities (ESAs) published a collection of questions and answers on Commission Delegated Regulation…
Sanctions tracker: new UK sanctions regarding Russian oil
United Kingdom - November 7 2022 The UK introduced further sanctions against Russia on 4 November 2022, via the Russia (Sanctions) (EU Exit) (Amendment) (No. 16) Regulations 2022…
FCA publishes consultation paper on sustainability disclosure requirements and investment labels
European Union, United Kingdom - October 25 2022 The FCA published today their long-awaited consultation paper on sustainability disclosure requirements and investment labels (the “Consultation“)…
Sanctions tracker - EU agrees eighth sanctions package
European Union, Russia, Ukraine - October 12 2022 On 6 October, the EU agreed its eighth Russia sanctions package (initial details of which were set out in our previous blogpost). The Commission and…
ESG for financial institutions - Top five trends in UK and EU regulation for 2023
European Union, Global, United Kingdom - October 11 2022 As financial institutions get to grips with the opportunities and challenges presented by the constantly evolving ESG landscape, we set out below the…
Sanctions tracker - new UK sanctions on provision of services to Russia
Russia, United Kingdom - October 4 2022 On 30 September, Foreign Secretary James Cleverly announced the imposition of a round of new UK sanctions against Russia. These restrictions are not…
Digital due diligence - SFC shines regulatory spotlight on Hong Kong online platforms in latest review report
Hong Kong - September 28 2022 In light of the increasing use of fintech to deliver services digitally to retail clients, the SFC has shared its observations following an in-depth…
FCA outlines its updated approach to alternative asset management supervision
United Kingdom - September 9 2022 In a “Dear CEO” letter sent in early August 2022, the FCA outlined the robust approach it will take to the supervision of firms in its alternative…
A new regime for critical third party providers to UK financial services firms is on the horizon
United Kingdom - August 15 2022 On 21 July 2022 the Bank of England (BoE), the PRA and the FCA (collectively, the regulators) published Discussion Paper 22/3 - Operational…
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